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Stephen F. Austin
State University
Minutes of the
Board of Regents
Houston, Texas
January 20,1998 (as amended)
Volume 154
TABLE OF CONTENTS
Page
97-104 Approval of October 14, 1997 Minutes 1
97-105 Faculty and Staff Appointments for 1997-98 1
97-106 Changes of Status 2
97-107 Retirements 3
97-108 Voluntary Modification of Employment... 3
97-109 Underenrolled Class Report for Spring 1998 3
97-110 Twelfth Class Day Report 3
97-111 Last Class Day Report, Fall 1997 3
97-112 Faculty Workload Report 4
97-113 Renovation of Miller Science Building- Architectural and Construction
Management Services -...4
97-114 Renovation of Tucker House and Furniture 4
97-115 Renovation of Homer Bryce Stadium 4
97-116 Renovation of Alumni Building 4
97-117 Naming of the Alumni Center 4
97-118 Renovation of Austin Building Second Floor 4
97-119 Resolution for Condemnation of Property , 5
97-120 Resolution to Reimburse Expenditures with Proceeds of Future Debt 5
97-121 Vehicle Replacements 5
97-122 College of Fine Arts Furniture and Equipment 5
97-123 Resolution to Review Qualified Investment Brokers 6
97-124 Resolution to Acknowledge Review of Investment Policy and Strategy... 6
97-125 Investment Policy Revisions 6
97-126 Policy Revisions : 6
Reports 6
A. Chair, Faculty Senate
B. President, Student Government Association
C. Vice President for University Advancement
D. President
Appendix No. 1 - Tucker House Renovations
Appendix No. 2 - Resolution for Acquisition/Condemnation
Appendix No. 3 - Resolution Declaring Expectation to Reimburse Expenditures
with Proceeds of Future Debt
Appendix No. 4 - Resolution Approving Financial Institutions and Brokers for
Investment Transactions
Appendix No. 5 - Resolution to Acknowledge Review of Investment Policy
and Strategy
Appendix No. 6 - Investment Policy Revision
Appendix No. 7 - Policies for Board Review
MINUTES OF THE MEETING
BOARD OF REGENTS
STEPHEN F. AUSTIN STATE UNIVERSITY
HOUSTON, TEXAS
JANUARY 20, 1998
The meeting was called to order at 9:12 a.m. by Chair Murray Shaw. Board members
present at The Houstonian Hotel: Ron Adkison, R. A. Brookshire, Mike Enoch, Pattye
Greer, Lynn Montes, Jimmy Murphy, Murray Shaw and Susan Roberds. Absent:
Penny Butler.
Meeting went into Executive Session at 9:13 a.m., and returned to Open Session at 9:35
a.m.
97-104
Upon motion of Regent Murphy, seconded by Regent Adkison, with all members voting
aye, it was ordered that the minutes of October 14, 1997, be approved as presented.
97-105
Upon motion of Regent Adkison, seconded by Regent Enoch, with all members voting aye, it
was ordered that the following appointments be approved.
1. History
Dr. Raymond Hall, Visiting Professor of Diversity, at a salary of $55,000 for
100% time for four and one-half months, effective fall semester, 1998.
2. Human Sciences
Dr. Brenda G. Marques, Assistant Professor, (Ph.D., University of Georgia), at
a salary of $36,000 for 100% time for nine months, effective spring semester,
1998.
3. Secondary Education & Educational Administration
Mr. David R. McDonald, Instructor, (M.Ed., Stephen F. Austin State
University), at a salary of $34,959 for 100% time for nine months, effective fall
semester, 1997.
4. Instructional Technology
Ms. Kimberly Holub, Course Administrator, B.S. (Texas A&M University), at a
contract salary of $13,698 for 100% time for nine months, fall semester, 1997
through May 31, 1998.
5. University Affairs
Mr. John A. Pearce, Head Football Coach, at a salary of $84,127 for twelve
months, effective February 1, 1998 through January 31, 1999.
Mr. Eddie Blister, Assistant Coach and Instructor of Kinesiology, at a salary of
$52,285 for 10.5 months, effective February 1, 1998.
Mr. Eugene Chizik, Jr., Assistant Coach and Instructor of Kinesiology, at a
salary of $52,285 for 10.5 months, effective February 1, 1998
Mr. Denzil Cox, Assistant Coach and Instructor of Kinesiology, at a salary of
$46,875 for 10.5 months, effective February 1, 1998.
Mr. Charles Davis, Assistant Coach and Instructor of Kinesiology, at a salary of
$38,192 for 10.5 months, effective February 1, 1998.
Mr. Robert McFarland, Assistant Coach and Instructor of Kinesiology, at a
salary of $46,025 for 10.5 months, effective February 1, 1998
Mr. Arlington Nunn, Assistant Coach and Instructor of Kinesiology, at a salary
of $41,071 for 10.5 months, effective February 1, 1998.
Ms. Debra Warren, Student Employment Officer, at a salary of $19,400 for
twelve months, effective October 23, 1997.
Ms. Stephanie King, Coordinator of Computer Based Testing, at a salary of
$15,000 for twelve months, contingent upon external funding, effective October
22, 1997.
James K. Dowling, MD., Physician, at a salary of $63,880 for 10.5 months,
effective January 19, 1998.
97-106
Upon motion of Regent Adkison, seconded by Regent Montes, with all members voting aye, it
was ordered that the following changes of status be approved.
1. Secondary Education & Educational Administration
Dr. Sharon Spall, from Visiting Assistant Professor at a salary of $36,374 for 100%
time for nine months, to Assistant Professor at a salary of $36,374 for 100% time for
nine months.
Dr. Robert S. Estabrook, from Chair and Professor at a salary of $81,000 for 100% time
for twelve months, to Professor at a salary of $78,000 for 100% time for twelve months.
Dr. Patrick M. Jenlink, from Professor at a salary of $78,000 for 100% time for twelve
months, to Chair and Professor at a salary of $81,000 for 100% time for twelve months.
2. University Affairs
Ms. Ashley Watson, from Hall Director III at a salary of $13,403 for nine
months, to Coordinator of Residence Life at a salary of $26,250 for twelve
months, effective October 27, 1997.
97-107
Upon motion of Regent Murphy, seconded by Regent Adkison, with all members voting aye, it
was ordered that the following retirements be accepted.
1. Chemistry
Mr. Charles R. Cates, Assistant Professor, effective July 9, 1998.
2. Elementary Education
Dr. John T. Thornton, Professor, effective December 31, 1997.
3. English and Philosophy
Dr. Hebe R. Mace, Associate Professor, effective December 31, 1997.
4. Forestry
Dr. Gerald L. Lowry, Professor, effective June 1, 1998.
97-108
Upon motion of Regent Adkison, seconded by Regent Enoch, with all members voting aye, it
was ordered that the following request for retirement and subsequent modification of
employment be approved:
Dr. Douglas McMillan, History, effective September 1, 1998.
95-109
Upon motion of Regent Murphy, seconded by Regent Adkison, with all members voting aye, it
was ordered that the Chairman of the Board be authorized to sign the Underenrolled Class
Report for spring, 1998 when the data is available.
97-110
Upon motion of Regent Murphy, seconded by Regent Adkison, with all members voting aye, it
was ordered that the Chairman of the Board be authorized to approve the Twelfth Class Day
Report for the spring semester, 1998.
97-111
Upon motion of Regent Murphy, seconded by Regent Adkison, with all members voting aye, it
was ordered that the Last Class Day Report for the fall semester, 1997, be approved as
presented.
97-112
Upon motion of Regent Murphy, seconded by Regent Adkison, with all members voting
aye, it was ordered that the faculty workload report for the fall semester, 1997 be
approved as submitted at the meeting.
97-113
Upon motion of Regent Murphy, seconded by Regent Roberds, with all members voting
aye, it was ordered that the President be authorized to seek Coordinating Board
approval for renovation of Miller Science Building, to hire a project architect, to hire a
project construction manager, and to bring project plans and a budget to the April, 1998
Board of Regents meeting for approval. The estimated budget for the project is
$7,000,000. Funds will be provided by tuition revenue bonds ($6,000,000) and the
HEAF allocation ($1,000,000).
97-114
Upon motion of Regent Greer, seconded by Regent Murphy, with all members voting
aye, it was ordered that the President be authorized to sign the required purchase orders
to complete the renovation of the Tucker House, as presented in Appendix No. 1.
Source of funds: Mclntire-Stennis grant, Center for Applied Studies in Forestry and
Rockwell earnings.
97-115 - Corrected 4-21-98
Upon motion of Regent Montes, seconded by Regent Murphy, with all members voting
aye, it was ordered that the President be authorized to obtain bids for the renovation of
the artificial turf, track, lights and sound system in Homer Bryce Stadium, and to
amend the 1997-98 Budget by the amount necessary to fund the project, however, such
amount is not to exceed the amount approved by the Coordinating Board by more than
10%. Source of the funds for the budget amendment is the auxiliary fund balance. It
was further ordered that the Chairman and Vice Chairman of the Board of Regents be
authorized to review and approve the bids for the renovation of the artificial turf and
track so that such renovation may be completed as soon as possible, and that the
Executive Committee of the Board of Regents be authorized to review and approve the
bids for the renovation of the lights and sound system.
97-116
Upon motion of Regent Adkison, seconded by Regent Enoch, with all members voting
aye, it was ordered that the University be authorized to renovate and expand the
Alumni Building, and that the President be authorized to sign all contracts necessary for
its completion, subject to a maximum budget of $590,700 fully funded by private
contributions, and that the Board consider the appropriate naming of the building.
97-117
Upon motion of Regent Brookshire, seconded by Regent Adkison, with all members
voting aye, it was ordered that the Alumni Building be named the Tracy D. Pearman,
Jr. Alumni Center at Stephen F. Austin State University.
97-118
Upon motion of Regent Murphy, seconded by Regent Enoch, with all members voting
aye, it was ordered that the President be authorized to sign all necessary contracts and
purchase orders to complete the renovation of the second floor of the Austin Building
The source of funding is HEAF, not to exceed $510,000.
97-119
Upon motion of Regent Adkison seconded by Regent Monies, with all members voting
aye, it was ordered that the Resolution for Acquisition/Condemnation of Lot 10 of the I
L. Sturdevant Subdivision and Lot 10-C, Block 45 of the City of Nacogdoches be
approved as shown in Appendix No. 2.
97-120
Upon motion of Regent Murphy, seconded by Regent Monies, with all members voting
aye, it was ordered that the Resolution to Reimburse Expenditures with Proceeds of
Future Debt be adopted as presented in Appendix No. 3.
97-121
Upon motion of Regent Enoch, seconded by Regent Monies, with all members voting
aye, it was ordered that the University be authorized to replace physical plant rental
fleet vehicles according to the schedule shown below, and that the President be
authorized to sign the purchase orders upon completion of bidding procedures The
source of funding is FY '98 HEAF, not to exceed $196,000. It was further ordered the
University be authorized to replace athletic department and rental vehicles through the
municipal lease available from Tipton Ford Company and that the President be
authorized to sign the required purchase orders and contracts. The source of funding
for the Athletics and Physical Plant rental fleet vehicles is auxiliary and education and
general funds.
Two categories of vehicles are approved for replacement. The first category includes
vehicles assigned to the physical plant department. The annual physical plant HEAF
allocation for FY '98 included funding of $196,000 for vehicle replacements The
allocation is scheduled as follows:
Shuttle bus $70,000
Vans, 15 passenger (2) 42,000
Van, 7 passenger 16,000
Pickup trucks (4) 68.000
Total $196,000
The second category includes six vehicles for the athletic department and four vehicles
tor the rental fleet, with funding from auxiliary and education and general funds.
Department Net Annual Cnst
Athletics $26,047
Physical Plant Rental Fleet 17.365
Total $43,412
97-122
Upon motion of Regent Murphy, seconded by Regent Monies, with all members voting
aye, it was ordered that the University be authorized to proceed with acquisition of the
concert piano and furniture for faculty offices, administrative offices, lounges and
public spaces in the renovated Music Building, and that the President be authorized to
sign purchase orders for the items upon completion of the bidding procedures. The
source of funding is FY 98 HEAF, not to exceed $165,000.
97-123
Upon motion of Regent Enoch, seconded by Regent Montes, with all members voting
aye, it was ordered that the Resolution Approving the Financial Institutions and Brokers
for Investment Transactions be approved as submitted in Appendix No. 4.
97-124
Upon motion of Regent Murphy, seconded by Regent Montes, with all members voting
aye, it was ordered that the Resolution to Acknowledge Review of the Investment
Policy and Strategy be ratified as presented in Appendix No. 5.
97-125
Upon motion of Regent Murphy, seconded by Regent Montes, with all members voting
aye, it was ordered that the operating funds investment policy be amended as shown in
Appendix No. 6 to add the two items required by the Texas Public Funds Investment
Act: First, that the policy must include the method used to monitor the market price of
acquired investments. Second, that the policy must include a statement that investment
transactions, with the exception of mutual funds and investment pools, be settled on a
delivery versus payment basis
97-126
Upon motion of Regent Murphy, seconded by Regent Enoch, with all members voting
aye, it was ordered that the Board of Regents adopt the proposed policy revisions, as
presented in Appendix No. 7.
REPORTS
A. Faculty Senate President, Darrel McDonald
B. Student Government Association President, Robyn Brown
C. Vice President for University Advancement, Jerry Holbert
D. President
Nominating Committee was named: Chair Jimmy Murphy, Mike Enoch, Penny Butler,
to report at the April meeting.
Future meeting dates: April 20-21, July 13-14.
Meeting adjourned at 10:58 a.m.
TUCKER HOUSE RENOVATIONS
Appendix No. 1
Costs as of December 31,1997
Design Consultation
Renovation Work (wallpaper, painting,
wainscoting, shelving, shutters)
Lighting
Phone and Internet Cable
Electrical Wiring
Draperies
Costs Breakdown
Center for Applied Studies
Rockwell Earnings
TOTAL
$18,339
21,478
$2,175
32,220
868
651
2,401
1502
$39^17
ANTICIPATED COSTS TO COMPLETE RENOVATIONS
Renovation Work (two additional rooms —
painting, wallpaper, floor covering)
Furnishings (workstation & office dividers,
bookcases, file cabinets, furniture, conference
table)
Draperies
Hardwood Floors Refinishing
Lighting
Exterior Work (front sidewalk, replacement of
rotted soffits and fascias) (Estimate)
$15,235
34,400
4,873
5,069
4,484
10,000
TOTAL $74,061
Appendix No. 2
BOARD OF REGENTS
STEPHEN F. AUSTIN STATE UNIVERSITY
Resolution for Acquisition / Condemnation
Lot 10 of the I. L. Sturdevant Subdivision and
Lot 10-C, Block 45 of the City of Nacogdoches
WHEREAS, Stephen F. Austin State University (the "University") has determined that it is
necessary to acquire, through condemnation proceedings if necessary, Lot 10 of the I. L. Sturdevant
Subdivision and Lot 10-C, Block 45 of the City of Nacogdoches; and
WHEREAS, the University owns all property on both sides of the block; and
WHEREAS, the University's 1985 long range plan showed need for acquisition of all
property on this block, with these stated lots being the only parcel of unacquired property in this area
under the University's long range plan; and
WHEREAS, these lots are jointly owned by a large number of individuals who inherited the
property and have not been fully responsive to the University's efforts to purchase the lots; and
WHEREAS, the University needs this property for the physical expansion of campus,
including building, construction of parking, or other needs; and
WHEREAS, the University has received Legislative approval for the acquisition of this
property.
NOW, THEREFORE, IT IS ORDERED that the acquisition of Lot 10 of the I. L.
Sturdevant Subdivision and Lot 10-C, Block 45 of the City of Nacogdoches as described in the
attached survey be acquired by the University, through condemnation proceedings if necessary. It is
determined that the acquisition is needed for the physical expansion of campus as articulated in the
1985 long range plan, which may include building, construction of parking, or other appropriate
campus needs. The University's Board of Regents hereby authorizes the President to take all steps
necessary to acquire the property, to execute all documents, instruments, and other agreements, to
initiate condemnation action through the Office of the Attorney General if necessary and take all such
actions as deemed necessary to carry out the purpose and intent of these transactions.
Signed by the Secretary of the Board of Regents confirming the adoption of this Resolution at its'
January 20, 1998 meeting in Houston, Texas.
A. £
R. A. Brookshire
Secretary, SF A Board of Regents
Date: ^ ^ ^&y^- ?$
SURVEYED FOR
STEPHEN F. AUSTIN STATE UNIVERSITY
All that certain tract or parcel of land lying and being situate in the
City of Nacogdoches, Nacogdoches County, Texas and being LOT 10 of the I L
STURDEVANT SUBDIVISION, (114/279, DRNCT) and LOT 10-C, BLOCK 45 of said City
as described in a conveyance from Carolyn Strudevant Miller, et vir, to Arthur
Marshall, dated November 13, 1962, recorded in Volume 309, Page 208 of the
Deed Records Nacogdoches County, Texas and more particularly described as follows:
BEGINNING at an iron axle found for corner in the South margin of Carolyn
Avenue, said beginning corner being the NWC of said Marshall lot and the NEC
of Lot 9 of said subdivision as described in a conveyance from Roger Van Horn
to Stephen F. Austin State University, dated December 12, 1986, recorded in
Volume 649, Page 787 of the Deed Records Nacogdoches County, Texas;
THENCE with the South margin of Carolyn Avenue and the NBL of said Marshall
lot as follows:
S 89°12'56" E, 137.59 feet to a 1/2" iron rod set for corner;
Southeasterly, 16.33 feet, a curve to the right having a central
^ angle of 89°1515311, a radius-of 10.48 feet and a chord of
s 44°35'00" E, 14.73 feet to a 1/2" iron rod set for corner in
the West margin of Baker Street, said corner being in the
Easternmost EBL of said Marshall lot;
THENCE S 00°02'58" W, 44.48 feet with the West margin of Baker Street and
the Easternmost EBL of said Marshall lot to its Easternmost SEC, an iron axle
found for corner;
THENCE N 89-21'02" W, 82.90 feet with the Northernmost SBL of said Marshall
lot to an iron axle found at a reentrant corner of same;
THENCE S 00°28'30" W, 61.92 feet with the Westernmost EBL of said Marshall
lot to an iron axle found at its Southernmost SEC;
THENCE N 89° 14• 54" W, 66.96 feet with the Southernmost SBL of said Marshall
lot to its SWC, an iron axle found for corner at the SEC of said Lot 9;
THENCE N 01-13-19" E, 116.97 feet with the WBL of said Marshall lot and
the EBL of said Lot 9 to the place of BEGINNING.
I, Tommy Findeisen, a duly Registered Public Surveyor for the State of
Texas hereby certify that the above field notes of the property surveyed for
T^ T; AUSTIN STATE 1JNIVERSITY bs^S LOT 10 of the I.L° STORDEVAN^ SUBDIVISION
and LOT 10-C, BLOCK 45 of the City of Nacogdoches, are true and correct, there
are no visible easements or encroachments from adjoining owners (other than
herein described) and the same was surveyed by me on the ground the 19th day
of June, 1987. USE OF THIS SURVEY FOR ANY OTHER PURPOSE OR BY OTHER PARTIES
SHALL BE AT THEIR RISK AND THE UNDERSIGNED IS NOT RESPONSIBLE TO OTHERS FOR
ANY LOSS RESULTING THEREFROM.
[red* Public Surveyor No. 1915 * < tommy findeisen >
BOC —
CAROLYN
AVENUE
A = 89OI5'53"
R = 10.48*
Ch= S44°35l00"E .14.73'
SURVEYED FOR
STEPHEN F. AUSTIN STATE UNIVERSITY ' '
LOT 10, I.L. STRUDEVANT SUBDIVISION
LOT 10-C, BLOCK AS
NACOGDOCHES, TEXAS
SCALE 1" = 20• JUNE 19, 1987
I, Tommy Findeisen, a duly Registered Public Surveyor for the State of Texas
S^Fim^WPQ^f.^T^0^ Piat °f the ProPertv surveyed for STEPHEN F. AUSTIN
STATE UNIVERSITY being LOT 10 of the I.L. STRUDEVANT SUBDIVISION and LOT 10-C BLOCK
45 of the City of Nacogdoches, is true and correct, there are no visible easements
or encroachments from adjoining owners (other than shown) and the same was surveyed
??n VnZn ^Ll9th *** °f 3m*> 1987- USE 0F ralS SURVEY F0R ANY OTHER
S?2S5 0THER PARTIES SHALL BE AT THEIR RISK AND THE UNDERSIGNED IS NOT
TO OTHERS FOR ANY LOSS RESULTING THEREFROM. a
Axle fd.
Axle fd.
Registered Public Surveyor No. 1915
>.»
« JOM.MY FINDEISfcN »
Appendix No. 3
BOARD OF REGENTS
OF
STEPHEN R AUSTIN STATE UNIVERSITY
Nacogdoches, Texas
RESOLUTION DECLARING EXPECTATION TO REIMBURSE
EXPENDITURES WITH PROCEEDS OF FUTURE DEBT
WHEREAS, Stephen F. Austin State University (the "University") intends to make a
capital expenditure of approximately $7,000,000 for improvements to the E, L. Miller Science
Building on its campus in Nacogdoches, Texas (the "Project"), which is to be funded in part with
proceeds of bonds to be issued by the Texas Public Finance Authority (the "Authority") as
authorized by House Bill 1077, Acts of the 75th Legislature, Regular Session (1997); and
WHEREAS, the University intends to expend an amount not to exceed $527,425 (the
"Expenditure") for Project development costs consisting of professional planning, design, and
engineering fees, and currently desires and intends the Expenditure to be reimbursed from
proceeds of bonds to be issued by the Authority for the Project; and
WHEREAS, under Treas. Reg- Section U03-19 (the "Regulation"), to fund such
reimbursement with proceeds of tax-exempt obligations, the University must declare its
expectation of such reimbursement before making the Expenditure; and
WHEREAS, the University and the Authority desire to preserve the ability to reimburse
the Expenditure with proceeds of tax-exempt obligations;
NOW THEREFORE THE UNIVERSITY HEREBY RESOLVES that it reasonably
expects to reimburse the Expenditure with the proceeds of the bonds to be issued hereafter by the
Authority, and this Resolution shall constitute a declaration of official intent under the Regulation.
BE IT FURTHER RESOLVED that a copy of this resolution be spread upon the
minutes of the January 20,1998 meeting of the Board
This Resolution will be made available for public inspection at the office of the
Commission at 1711 San Jacinto, Austin, Texas, and at the main office of the University at 1936
North Street, Austin Building, Office 315, Nacogdoches, Texas,
THE BOARD OF REGENTS, STEPHEN F, AUSTIN STATE UNIVERSITY
Attest: /I-R.
A. Brookshire, Secretary
January 20,1998
Appendix No. 4
BOARD OF REGENTS
OF
STEPHEN F. AUSTIN STATE UNIVERSITY
Nacogdochcs, Texas
RESOLUTION APPROVING
FINANCIAL INSTITUTIONS AND BROKERS
FOR INVESTMENT TRANSACTIONS
WHEREAS, The Texas Public Funds Investment Act requires the University to submit a
resolution approving a list of qualified investment brokers to the governing body of the institution
for adoption and/or review; and
WHEREAS, the following firms are approved investment brokers:
Merrill Lynch Inc.
Smith Barney Inc.
Southwest Securities Inc.
Prudential Securities Inc.
Commercial Bank of Texas
Stone Fort National Bank
Fayez Sarofim Inc.
Citizen's First Bank
Fredonia State Bank
NOW THEREFORE BE IT RESOLVED that the Stephen R Austin State University
Board of Regents, by the issuance of this Resolution, do hereby approve the above listed finns for
investment transactions by Stephen F. Austin State University; and
BE IT FURTHER RESOLVED that a copy of this resolution be spread upon the
minutes of the January 20,1998 meeting of the BoaixL
THE BOARD OF REGENTS, STEPHEN F. AUSTIN STATE UNIVERSITY
Attest:
R. A. Brookshire, Secretary
January 20,1998
Appendix No. 5
BOARD OF REGENTS
OF
STEPHEN F. AUSTIN STATE UNIVERSITY
Nacogdoches, Texas
RESOLUTION TO ACKNOWLEDGE
REVIEW OF INVESTMENT POLICY AND STRATEGY
WHEREAS, The Texas Public Funds Investment Act requires that University's
investment policy and strategy must be annually reviewed by the governing board of the
institution; and
WHEREAS, the law also requires the governing body to adopt a written instrument
stating that it has reviewed the investment policy and strategy; and
NOW THEREFORE BE IT RESOLVED that the Stephen F. Austin State University
Board of Regents, by the issuance of this Resolution, does hereby approve the investment policy
and strategy as reviewed on January 20,1998; and
BE IT FURTHER RESOLVED that a copy of this resolution be spread upon the
minutes of the January 20,1998 meeting of the Board.
THE BOARD OF REGENTS, STEPHEN F. AUSTIN STATE UNIVERSITY
Attest:
R. A. Brookshire, Secretary
January 20,1998
Appendix No. 6
Investments Index C-41
Original Implementation: April 30,1996
Last Revision: July 15 January 20,1997-8
Policy Statement
Stephen F. Austin State University invests the public funds in its custody with primary
emphasis on the preservation and safety of the principal amount of the investment.
Secondarily, investments must be of sufficient liquidity to meet the day to day cash
requirements of the University. Finally, the University invests to maximize yield within the
two previously-indicated standards. All investments within this policy conform to all
applicable State statutes and local rules governing the investment of public funds. This
policy is promulgated in accord with the Public Funds Investment Act (Government Code,
Chapter 2256), related portions of the Texas Education Code, and the applicable portions of
H. B. 2459,74th Texas Legislature.
This policy establishes rules for the investment of all University and agency funds except
endowment funds. Endowment funds are invested in accordance with separate policy
approved by the Board of Regents and are the responsibility of fund managers selected by the
Board of Regents.
Objectives
The foremost objective of all investment decisions shall be safety of principal. All
investments must be undertaken with the fiduciary responsibility associated with that of a
reasonable and prudent person. Investments must be in accord with Texas law. Investment
maturity must be diversified to match the University's liquidity requirements.
Investments shall incur no unreasonable risk in order to maximize potential income.
Investments shall remain sufficiently liquid to meet all reasonably anticipated operating
requirements.
Investments shall be diversified in order to minimize any risk inherent in the purchase of
multiple securities of the same type or within the same financial institution.
No investments within the portfolio or investment practices conducted to effect investment
activities shall violate the terms of this policy.
N) Assets and/or funds reportable within the scope of the Universityfs annual
financial report may not be invested in or used to purchase securities,
including obligations, of a private corporation or other private business entity
that owns 10% or more of a corporation or business entity which records or
produces any song, lyrics or other musical work that explicitly describes,
glamorizes or advocates:
(1) acts of criminal violence, including murder, assault, assault on police
officers, sexual assault, and robbery;
(2) necrophilia, bestiality, or pedophilia;
(3) illegal use of controlled substance;
(4) criminal street gang activity;
(5) degradation or denigration of females; or
(6) violence against a particular sex, race, ethnic group, sexual
orientation, or religion.
Insurance Or Collateral
All deposits and investments of University funds other than direct purchase of United States
Treasury securities or United States Agency securities and in money market funds invested in
U. S. Treasury or Agency securities shall be secured by a pledge of collateral with a market
value equal to no less than 100% of the deposits or investments less any amount insured by
the FDIC or FSLIC and pursuant to Article 2529d, the Public Funds Collateral Act.
Evidence of the pledged collateral shall be maintained by the University Controller. Eligible
repurchase agreements shall be documented by a specific agreement noting the collateral
pledged in each agreement. Collateral shall be reviewed monthly to assure the market value
of the securities pledged equals or exceeds the related bank balances.
Pledged collateral shall be maintained for safekeeping by a third party depository.
Collateral Defined
The University shall accept only the following securities as collateral:
A) FDIC and FSLIC insurance coverage;
B) United States Treasury, Agency, or Instrumentality securities;
C) Other obligations, the principal of and interest on which are
unconditionally guaranteed or insured by the State of Texas or the United
States of America;
D) Maturity
The length of time for investments within this policy will vary according to
fund type and will be dependent on funding requirements. As a general rule,
funds will be invested for the time periods indicated:
Current Unrestricted and
Restricted Funds 2 days to one year
Plant Funds 3 months to 3 years
Delegation Of Authority
The Vice President for Business Affairs (VPBA) of Stephen F. Austin State University is
responsible for investment management decisions and activities. The VPBA delegates the
day-to-day management of the investment activities to the Director of Financial Services.
The VPBA shall be ultimately responsible for all transactions undertaken and shall establish
a system of controls (Appendix A) to regulate the activities of officials and staff involved in
investment transactions.
The VPBA shall develop and maintain written administrative procedures and guidelines for
the operation of the investment program which are consistent with and part of this Investment
Policy (Appendix B).
The VPBA shall be designated as the University's investment officer and is responsible for
the duties outlined herein. The name and title of the investment officer shall be filed with the
Board of Regents. Changes of name and/or title must be filed with the Board of Regents as
they occur.
Decisions requiring security purchases with stated maturity in excess of five (5) years will
require approval of the VPBA and ratification by the Board of Regents.
No officer or designee may engage in an investment transaction except as provided under
terms of this policy as approved by the Stephen F. Austin State University Board of Regents.
Prudence
The "prudent person" standard will be used in the investment function and shall be applied in
the context of individual transactions as well as management of the overall portfolio.
Accordingly, all investments shall be made with judgment and care, under circumstances
then prevailing, which persons of prudence, discretion, and intelligence exercise in the
management of their own affairs, not for speculation, but for investment, considering the
probable safety of their capital as well as the expected income to be derived.
Internal Controls
Stephen F. Austin State University has established a system of written internal controls
designed to prevent loss of public funds due to fraud, employee error, misrepresentation by
third parties, unanticipated market changes, or imprudent actions by employees of the
University. These controls are shown in Appendix A of this Investment Policy. These
controls are subject to the review of and recommendations from the University's Department
of Audit Services office.
Investment Authority
The VPBA shall invest only those funds regulated by this policy and shall purchase only
those securities authorized by the Authorized Investments section of this policy.
Authorized Financial Dealers And Institutions
Transactions (bids and offers) will require competitive bidding by at least three Board
authorized broker/dealers who have fulfilled all compliance requirements of the Board.
Exceptions to this rule require written justification and Board approval.
A written copy of the then current investment policy shall be presented to any individual
seekqffering to sell an authorizodengage in an investment ^transaction with Stephen F.
Austin State University. The registered pnncipalqualified representative of the business
organization se&mgoffering to seHengage in an authorized investment transaction with
Stephen F. Austin State University shall execute a written instrument substantially to the
effect that the registered ynncvpoXbusiness organization has (a) received and thoroughly
reviewed the investment policy of the University and (b) acknowledges that the business
organization has implemented reasonable procedures and controls in an effort to preclude
imprudent investment activities arising out of investment transactions conducted between the
University and the organization that are not authorized by Stephen R Austin State
University's investment policy..
Securities may not be bought from any organization whose representative has not provided
the University with the acknowledgment required in the above paragraph.
Diversification
Investments shall be diversified to minimize the risk of loss resulting from unauthorized
concentration of assets in a specific maturity, specific issuer, or specific class of securities.
The diversification limits by security type and issuer shall be:
(H) state the compliance of the investment portfolio of the University as it
relates to the relevant provisions of the Public Funds Investment Act.
Training
The VPBA and Director of Financial Services are required by Section 2256.007(a) of the
Government Code to attend at least one session of investment training not later than March 1,
1996, and, as appropriate, periodically thereafter.
Audits
The University's Department of Audit Services office shall conduct annual compliance audits
of management controls on investments and adherence to the University's investment policy
and report the results to the President and VPBA and the State Auditor's Office. In addition,
the Department of Audit Services shall annually review the quarterly investment reports, and
report the result of the review to the governing body.
Investment Policy Adoption And Certification
Upon adoption by the Stephen F. Austin State University Board of Regents, the University's
investment policy shall be reviewed annually to ensure current applicability and significant
modifications thereto submitted to the Board of Regents for approval.
Source of Authority: Board of Regents, Stephen F. Austin State University
Cross Reference: None
Contact for Revision: Vice President for Business Affairs
Forms: None
Category Maximum
U. S. Treasury securities and securities having
principal and interest guaranteed by the
U. S. Government 100%
U. S. Government agencies, instrumentalities
and government sponsored enterprises
(excluding mortgage backed securities) 50%
Mortgage backed securities 25%
Fully insured or collateralized certificates of deposit 30%
Bankers' acceptances 25%
Commercial paper 25%
Repurchase agreements 100%
Registered money market funds 80%
Local Government Investment Pool 100%
The VPBA and his or her designee shall diversify investment maturity. To the extent
possible, investment maturity will be matched with anticipated cash flow requirements.
Matching maturity and cash flow requirements will minimize occasions for sale of securities
prior to maturity, thereby reducing market risk. However, no provision of this policy shall be
interpreted as prohibiting the sale of any security prior to maturity, provided that it is in the
University's financial interest to effect the sale.
The weighted average maturity of the entire portfolio shall be maintainod at no moro than
five years and shall be reported in quarterly reports to the Board of Regents. Pooled fund
groups eligible for University investment shall have a mcucimum avorago dollar weighted
maturity of no moro than five years.
Safekeeping And Collateralization
All securities transactions, including collateral for repurchase agreements, but excluding
mutual funds and investment pools, must shall be conducted settled on a delivery versus
payment basis. All securities shall be held by a third party custodian in the name of the
University. The third party custodian shall be required to issue a safekeeping receipt to the
University listing the specific instrument, rate, maturity, safekeeping receipt number, and
other pertinent information. Any collateral safekeeping receipt shall be clearly marked on its
face that the security is "pledged to Stephen F. Austin State University".
Collateralization shall be required on certificates of deposit and repurchase agreements. The
collateralization level shall be no less than 100% of the market value of the principal and
interest due on these instruments.
Collateral for certificates of deposit and repurchase agreements shall consist of any of the
securities authorized for investment within this policy.
Performance Evaluation
The VPBA shall submit quarterly reports to the Board of Regents through its Finance
Committee and the President of the University in the format prescribed by the Public Funds
Investment Act, within a reasonable time after the end of the quarter.
The reports must:
(A) describe in detail the investment position of the University on the date of the
report;
(B) be prepared by the investment ofificer(s) of the University;
(C) be signed by the investment officer(s) of the University;
(D) contain a summary statement prepared in compliance with generally accepted
accounting principles of each pooled fund group that states the
(1) beginning market value for the reporting period;
(2) additions and changes to the market value during the period;-aa4
(3) @) ending market value for the period; and
(4) fully accrued interest for the reporting period;
(E) state the book value and market value of each separately invested asset at the
beginning and end of the reporting period by the type of asset and fund type
invested;
(F) state the maturity date of each separately invested asset that has a maturity
date;
(G) state the account or fund or pooled group fund for which each individual
investment was acquired; and
Authorized Investments
All University funds and funds held in trust for others may be invested only in the following
securities:
A) obligations of the United States of America, its agencies and
instrumentalities;
B) direct obligations of the State of Texas or its agencies and Instrumentalities;
C) collateralized mortgage obligations directly issued by a federal agency or
instrumentality of the United States of America, the underlying security for which
is guaranteed by an agency or instrumentality of the United States of America;
D) other obligations, the principal of and interest on, which are unconditionally
guaranteed or insured by, or backed by the full faith and credit of, the State of
Texas or the United States of America or their agencies and instrumentalities;
E) obligations of states, agencies, counties, cities, and other political subdivisions of any
state rated as to investment quality by a nationally recognized investment rating firm
of not less that A or its equivalent;
F) certificates of deposit issued by a state or national bank or savings and loan
association domiciled in Texas that is:
1) guaranteed or insured by the Federal Deposit Insurance Corporation;
2) folly collateralized by obligations described in Authorized Investments
section A-E listed above, including mortgage backed securities directly
issued by a federal agency or instrumentality that have a market value of not
less than the principal amount of the certificates, but excluding those
mortgage backed securities of the following nature:
a) obligations whose payment represents the coupon payments on the
outstanding principal balance of the underlying mortgaged-backed
security collateral and pays no principal;
b) obligations whose payment represents the principal stream of cash
flow from the underlying mortgage-backed security collateral and
bears no interest;
c) collateralized mortgage obligations that have a stated final maturity
date of greater than 10 years; and
d) collateralized mortgage obligations the interest rate of which is
determined by an index that adjusts opposite to the changes in a
market index.
G) fully collateralized repurchase agreements with a definite termination date,
secured by obligations described by Authorized Investments section F,
requiring the securities being purchased by the entity to be pledged to the
entity, held in the entity's name, and deposited at the time the investment is
made with the entity or with a third party selected and approved by the entity;
and placed through a primary government securities dealer, as defined by the
Federal Reserve, or a financial institution doing business in this state;
H) bankers acceptances having a stated maturity of 270 days or fewer from the
date of issuance, to be liquidated in full at maturity, eligible for collateral for
borrowing from a Federal Reserve bank, and accepted by a bank organized
and existing under the laws of the United States of America or any state, if the
short-term obligations of the bank, or of a bank holding company of which the
bank is the largest subsidiary, are rated not less than A-l or P-l or an
equivalent rating by at least one nationally recognized credit rating agency;
I) commercial paper that has a stated maturity of 270 days or fewer from the
date of its issuance, and is rated not less than A-l or P-l or an equivalent
rating by at least two nationally recognized credit rating agencies or one
nationally recognized credit rating agency and is fully secured by an
irrevocable letter of credit issued by a bank organized and existing under the
laws of the United States of America or any state;
J) no-load money market mutual funds regulated by the Securities and
Exchange Commission, having a dollar-weighted average stated maturity of
90 days or fewer, and including in their investment objectives the
maintenance of a stable net asset value of $1 for each share;
K) guaranteed investment contracts conforming to Section 2256.015 of the
Government Code;
L) investment pools conforming to Section 2256.016 of the Government
Code;
M) cash management and fixed income funds sponsored by organizations
exempt from federal income taxation under Section 501(f), Internal
Revenue Code of 1986 (26 U.S.C. Section 501(f));
APPENDIX A
INTERNAL CONTROLS
The University has prepared an Investment Policy as of April 12,1996. The policy was
approved by the Board of Regents April 30,1996.
The Investment Policy will be reviewed and/or updated no less than annually.
All pledged securities shall be held by a third party custodian in the name of the University.
A safekeeping receipt will be issued to the University listing the specific instrument, rate,
maturity, safekeeping receipt number, and other relevant information.
The signature of the President, VPBA, or Director of Financial Services is required for
release of pledged securities from safekeeping.
The Controller's Office will reconcile the appropriate investment accounts to broker's
statements and other supporting documents ™™iUiy jnvmtmmt Tiifaidfory lcdgor mil bo
roconcilod monthly to tho Financial Report, Gonoral Lodgor, Toimool ctatomonts, and otlmi
brokor/doalor ntatomontn. Thn rWrniWr nffi™ ,™n mnn^ jny^tmcnt incomo monthly.
Tho Controller will roviow tho ontrioo monthly.
All wire transfers, check transfers, or other bank items are transmitted to the bank by
someone other than the person preparing them.
All purchases of securities from and deposits of funds to or withdrawals of funds from
Texpool require the signature of the VPBA, and either the Director of Financial Services or
the Controller.
D) Obligations of states, agencies thereof, counties, cities, and other political
subdivisions of any state having been rated as to investment quality by a
nationally recognized investment rating firm and having received a rating of
no less than A or its equivalent.
Investment Strategy
All investments will be made in accordance with the University's Investment Policy.
Investments will be diversified among a variety of investment vehicles as specified in the
section on Diversification. Protection of the portfolio's principal is of primary concern;
however, it is recognized that unrealized losses will occur in a rising interest rate
environment, just as unrealized gains will occur during periods of falling interest rates.
Investments may be categorized and described as:
A) Short Term - less than 90 days
Funds needed to meet short term operating requirements normally will be
invested in either the Texpool investment vehicle managed by the State
Treasurer or overnight sweep accounts established with banking institutions.
This pool allows funds to be liquidated on a daily, if noooGsary, baois. IntoroGt
rates in Texpool change daily. The benchmark is the average three month
Treasury Bill "yield.
B) Intermediate Term - 90 days to one year
United States Treasury and Agency securities, United States Agency Discount
Notes, and Toxpool are the primary investment vehicles. United States
Agonoy Discount NotQGTreasury securities are preferable because of thez'r low
risk and the ease with which they are traded, and thoir return is comparable to
other United States Agency Securities and are usually higher in yield than
United States Treasury securities and Toxpool. Toxpool is preferred when
short term interest rates are low and there is no significant earnings advantage
to using other investment vehicles. The benchmark is 95 percent of the
average one-year Treasury Bill yield.
C) Long Term - over one year
United States Treasury and Agency securities are the primary investment
vehicles. Normally, investments are laddered so that most principal is
returned over a five year period in increments sufficient to meet anticipated
operating and capital needs. The Lehman Government/Corporate Bond Index
30 Year Treasury Bond rate is the benchmark for long term funds.
APPENDIX B
ADMINISTRATIVE PROCEDURES
The Director of Financial Services will monitor investments and cash balances held in
depository bank accounts on a weekly basis.
The Controller will provide cash flow projections and will monitor and report cash
requirements to the Director of Financial Services. Such needs will be initially determined at
the beginning of the fiscal year and will be modified, as necessary, throughout the year.
The Director of Financial Services will review the level of investments, cash balances, and
cash requirements and make necessary adjustments in the investment allocations and bank
balances.
All investment transaction and cash transfer confirmations will be prepared by the Director of
Financial Services and approved by the Vice President of Business Affairs. The related
banking transactions will be made by the Controller.
The Controller will maintain a subsidiary investment ledger for reconciliation to tho monthly
finnnriini rppnrt Tnvpnni rtntgtmantr nnH nthar V>rnVarMan|Qr qtntPmenfcj. ITlCCC TCpOrtC OTC tO
be reconciled monthly. The Controller's Office will record investments in compliance with
GASB and State Comptroller's reporting requirements and reconcile the appropriate
investment accounts to broker's statements and other supporting documents monthly.
Quarterly investment reports are prepared by the Director of Financial Services and approved
by the Vice President of Business Affairs in accordance with Section 15 of this investment
policy.
The market price of securities will be monitored on a monthly basis. The Wall Street Journal
will be used as the source of securities valuation.
Appendix No. 7
Policies for Board Review
January 1998
Faculty/Staff Traffic Appeals D-12
Health and Safety D-17
Illicit Drugs and Alcohol D-19
Abuse
Petitions and Handbills D-25
Information Form
Delete reference to Type I citations
Incorporate current job titles; contact for
revision
Update Minimum and maximum
Punishments
Delete 24 hour advance notice; change cross
reference to web page
Appendix No. 7
f' SUSPENSI0N AND REINSTATEMENT FOR
Original Implementation: January 30,1981
Last Revision: Current Date
Probation
A student is placed on academic probation after the first regular semester in
which the grade point average fails to meet the minimum standard.
Suspension
A student is placed on academic suspension for one regular semester after the
second consecutive regular semester of enrollment in which the grade point
average fails to meet the minimum standard.
Reinstatement
A student on academic suspension may be allowed to continue in the University
through any of the following procedures: "vci&uy
1. Attend summer school at Stephen F. Austin State University and
a. raise his/her grade point average to the minimum University standard
as specified in the General Bulletin, or
b. pass with a C average or better at least 9 semester credit hours as
specified by his/her dean.
2. Follow procedures established by his/her dean.
3. Be reinstated on probation automatically after one regular semester's
absence from the University.
SOURCE OF AUTHORITY: Vice President for Academic Affairs
CROSS REFERENCE: General Bulletin, Graduate Bulletin, Faculty Handbook
Student Handbook and Activities Calendar
CONTACT FOR REVISION: Vice President for Academic Affairs
FORMS: None
~ Stephen F. Austin State University -
Commencement T , . ..
^ • • it i - Index A-ll
Ongmal Implementation: February, 1984 p,,-,- ■, nf -.
Last Revision: rage l oi 1
The arrangements for commencement ceremonies to be held at the end of the fall sprin* and
summer semesters are the responsibility of the office of the Registrar except for me selection of
and arrangements for a speaker, which are the responsibility of the President.
Faculty members arc encouraged to attend onrh pnmmnnr.nt11nnt ni nn import3nt zyai\^iL
ceremony of the Uiiivorsity's function. Because of commencement >s importance as a symbol of
the University s core function, faculty members are encouraged to attend.
In order to have adequate representation of faculty at ^^Tnt it h thr ir-pOiUbilil uf
each dopartmont chairman to establish ^ nnfr n ^^ ,rh- Mr tn n::mL Jp ""^17
ftvo thirds of thc PPnntmont faculhy in the department attend each tommonccnieu7gg^ V
permanent member of the faculty is obliged to attend at least one commencement each year for
faculty teaching in the second summer term that one obligatory attendance is the August '
"roZZ DSPartment Chain ^ resP°nsihkf°r assuring faculty members' compliance with this
Attendance at two of tho thrnn pnmmnnrnn.nnt ^r-mnnir i h mindatoin fui puiwnicIIg^
All thoso teaching tho second nimmnr mrrinn rhn}M nttr ni1 thc Augu-t cummcnccmoilL
Source of Authority: Vice President for Academic Affairs
Cross Reference: None
Contact for Revision: Vice President for Academic Affairs
Forms: None
Courses in Shortened Format
Minimum Length of Courses
Original Implementation: February 4,1986
Last Revision: August 1, 1988 Current date
Index A-14
Page 1 of 1
Stephen F. Austin State University requires that each course (except individual instruction)
that it offers for degree credit shall conform, in format, to the explicit and implicit
expectations of academic tradition, regional accrediting agencies, and the Rules and
Regulations of "the Texas Higher Education Coordinating Board. One of those expectations
to predicated on the fact that, as stipulated by the Coordinating Board in its documVnTonte
Cnmrnnn CnlmAnr p y
normally shall include at least 15 weeks fc
2Qy 1978, and
&
29,1982), "a semester
for final examinations
combined" and a summer session
including registration, instruct [ski and final
:ludo no less that 5 1/2 calendar week,
Conventionally, each
class meeting lasts fifty (50) minutes d id an equivalent amount of time
during a summer session. That moai tipulatcd here that, for each semester hour
of credit a course carries, the class shall moot for 750 as each course
conforms to the 750 minute instru emestor hour of credit it
carries and is offered in not loss th than three weeks, the
course may bo conducted in any format that approp
t
the academic and public
interest. Students may receive credit fo r hours in any three
week period and may not can? )ffered in a shortened
format.
Permission to offer a course in a shortened format must be given by the appropriate
academic dean and the Vice President for Academic Affairs, who shall determine that the
format and content make it appropriate for shortened duration, and that the quality of the
course is equal to or better than a course offered under a regular format. A student enrolled
in such a course must meet the regular admissions requirements of the University -A
™"™J?^*lSh2TtC™d f0rm^ flhlJ1botoqght only on rnmpuo or at an off J
site approved by the Coordinating Board.
Source of Authority: Texas Higher Education Coordinating Board, President Vice
President for Academic Affairs
Cross Reference: Policy. Procedures and Format Guidelines Texas High
Education Coordinating Board, 1992
{Current web site http://www.thecb.state.tx.us/rules/5/5_A.htm)
Contact for Revision: Vice President for Academic Affairs
Forms: None
er
Final Examinations Index A-19
Original Implementation: Ju
Last Revision: None
Latest Review: Current Date
June 16,1982 Page 1 of 1
Faculty members conducting classes shall adhere to the official schedule for administering
final examinations published in the Schedule of Classes and distributed to the faculty by the
Vice President for Academic Affairs. Exceptions may be made by the appropriate academic
dean
Source of Authority: Vice President for Academic Affairs
Cross Reference: Faculty Handbook
Contact for Revision: Vice President for Academic Affairs
Forms: None
Graduate Assistantships Index A-20
Original Implementation: Unpublished Page 1 of
Last Revision: August 1,1988 Current date
To be eligible for a graduate assistantship, a student must have clear or provisional
admission to the graduate school and the department and be in good academic standing.
Applicants will contact tho respective; academic department, and, along with an application
form, must submit three letters of recommendation and a letter of intent.
When tho student is approved for an assistantship by tho Chairman of tho Department, tin
Chairman will initiate a "Personnel Action Request" (Sec Personnel Action Request
procedure.) and submit it with the application, transcripts and letters of rocommendatieft
thrnngh thn AnnHnmir rv-m TVrnr»tr.r »f Prrgonncl Service::, Graduate Dean Vice
PPrmensiiddaenntt ffnorr AAcmaHdenmiic A*f fffaiir s andd vVji ce PPriesdid ent ffo r AAdmdiniisktr ative? and Fiscal Affaiis.
Aftordlsignatures are obtained on the "Personnel Action Poqnost" fonu, it L itlumtd lu
tho Graduate School office. A student must be approved for an assistantship by the Chair
of the Department, the Academic Dean, the Director of Personnel Services, the Budget
Director, and the Associate Vice President for Graduate Studies and Research.
If tho student is approved at nil Wnln, thn tw nf thn qrt]r]mtr r,rhool rail :cnd a lottei lu
thc prospective nr.r.jr.tnnfr-hip nmHirf^ nffnrinr, ^ pmiHnn A copy of thi: lottui it,
gggj j?th0 ydQ.nVs aca,dcmjc dcan and department. A copy is also kopt with his/hci
papers (PAR, application, etc.) in tho Graduate School office until the student accepts eV
declines the offer in writing.
If tho student accepts, thc paperwork is appropriately distributed.
£^Jg^xS^^Py ?^ incclluuddii nSthc dGcMng 1nttgr>is ™M l^atL lu Hit
department. Nothing is retained in thc Graduate School Dean's office.
Except for students in the Ed.D., D.F. and M.F.A. programs, a student may e*riy-receive
an assistantship for no more than four long semesters.
Source of Authority: Vice President for Academic Affairs
Cross Reference: Neae- Graduate Bulletin
Contact for Revision: Dean of the Graduate School Associate Vice President for
Graduate Studies and Research
Forms: Application Form for Graduate Assistantships (available from the office of the
Chairman Chair of the academic department).
Guest Lecturers
Original Implementation; October 1,1980
Last Revision: None
Last Review: Current Date
Source of Authority: Vice President for Academic Affairs
Cross Reference: Faculty Handbook
Contact for Revision: Vice President for Academic Affairs
Forms: None
Meeting and Conducting Classes *rnjo A it
priginanmplementation: June 16,1982 - Pap* 1 hf1
Last Revision: None ra2e lo11
Source of Authority: Vice President for Academic Affairs
Cross Reference: General Bulletin, Graduate Bulletin, Faculty Handbook
Contact for Revision: Vice President for Academic Affairs
Forms: None
REGENTS PROFESSORS A_38
Original Implementation: October, 1979
hast Previous Revision: April 18,1989*
Lost Revision: Current Date
Each year at its spring meeting, the Board of Regents recognizes one or two truly
outstanding faculty members as Regents Professors for the coming academic year
These professors receive a monetary award to be used in support of their
activities in that year and are recognized at the spring commencement
ceremonies at the end of their term, at which time they are presented a medal.
Any tenured faculty member of the University is eligible for nomination for
Regents Professor.
1. A nomination shall be made by a tenured faculty member of the University
in writing to the department Chair and shall consist of the resume and
not moro than ton additional supporting documents that can be contained in one
3inch, 3 ring, notebook.
2. A nomination shall be submitted without regard to the distinction between
teaching and research.
3. Previous recipients shall serve as a review panel and individually and
independently submit a ranking of nominees to the Academic Affairs Council Vice
President for Academic Affairs.
4. Nominations shall be reviewed by the Academic Affaire Council Council of Deans
which shall recommend the nominees who best represent teaching and/or research
of as4 exceptionally high quality.
5. The Academic Affairs Council of Deans shall make its recommendations, in turn to
the Vice President for Academic Affairs, the President, the Chair of the
Academic Affairs Committee of the Board of Regents, and the full Board
Should the Academic Affairs Council of Deans conclude that nominees do not meet
the expectations for a Regents Professorship, it shall recommend that the honor not
be bestowed.
6. Recipients shall be chosen by the Board of Regents.
During the course of their teawe initial year as Regents Professors, recipients shall be
available for consultation to the academic community.
♦Minor changes in procedure only wore recommended by the Faculty Committee uf
the Academic Affairs Council.
SOURCE OF AUTHORITY: Board of Regents, President, Vice President for Academic
Affairs
CROSS REFERENCE: None
CONTACT FOR REVISION: Vice President for Academic Affairs
FORMS: None
Research Grants Enhancement Program Index A-39
Original Implementation: September, 1965 " Page 1 of -6 2
Last Revision: September, 1990 Currentdate
Research Enhancement funds provided by the State of Texas are the basis of the support for the faculty
research enhancement program. The funds are intended to encourage and enhance research opportunities
for faculty members and serve as "supportfor innovative research and seed monies to attract non-state
financial support. "[1987 Report of the Select Committee on Higher Education.]
The Research Enhancement Program at Stephen F. Austin State University is composed of two
components: the Faculty Research Grants Program and the Minigrants Program. The Faculty Research
Grants Program provides substantive support for research and scholarly creative activities. Minigrants
provide an opportunity for faculty to carry out small projects or preliminary research activities which will
increase their competitiveness in the acquisition of external funds.
Any faculty member of tho rank of instructor or higher or including any professional librarian is eligible
to apply for a faculty research grant, subject to the following conditions: °
1. A faculty research grant will not be awarded for the purpose of obtaining an advanced
academic degree.
2. The recipient of a faculty research grant in a given year is ineligible for a grant the following
year, except that, in the first year of a fiscal biennium, a project under extraordinary &
circumstances may be funded for two years under extraordinary circumstances.
3. Except in extraordinary circumstances, an applicant is limited to one faculty research grant
proposal in a single year.
4. The recipient of a faculty research grant may not accept another concurrent grant for the same
research.
$*~ The recipient of n fnraiity rpwrrh m-nnt fnr n ^1rnrncr session i: expected tn rirvntr fhTI ti in
teach nor engage in anv other activity fnr whir* hr>trhn <r nH yy thp University or nmr ntii...
state agency. (See Item 1 under Allocation of Faculty Research Funds "below'.)'
5. Because the College of Forestry has access to research funds from other sources, members of
the College of Forestry are not eligible to apply to the Faculty Research Grants program.
6. In the expenditure of faculty research grant appropriations, a recipient is subject to all local
state, and federal fiscal regulations. fS^r. Aiinmtinn "f Polity Research rundc below.) '
7. Likewise, a A recipient is subject to all local, state, and federal affirmative action regulations.
8. Any research proposal that would involve the use of human subjects, laboratory animals or
hazardous materials must be accompanied by a memorandum of approval from the chainaaft
of the appropriate University committee. These committees are: Institutional Review Board
for the Protection of Human Subjects, Institutional PmrinmPnn^ f»rthe Core of Laboratory
Aftksate Animal Care and Use Committee, and- Environmental Safety and Health/Radiation
Committee, and Public Health Committee.
Index A-39
Page 2 of 4, 2
9. A faculty research grant recipient must make such progress and final reports about his/her
project as required by the Boon of the Graduate School Office of Research and Sponsored
Programs. The final report must include a 200-word abstract of the research and the findings.
10. Any publication resulting from a faculty research grant shall acknowledge that the project was
conducted under a Stephen F. Austin State University faculty research grant. Copies of the
publication shall be filed with the Doan of the Graduate School Office of Research and
Sponsored Programs and with the Steen Library.
11. Each recipient of a faculty research grant is subject to the provisions of, and shall be
responsible for adherence to, the University policy on Intellectual Property (Policy D-20)
which applies to ". . intellectual property of all types (including any invention, discovery
trade secret, technology, scientific or technological development, computer software
conception, design, creation or other form of expression of an idea) regardless of whether
subject to protection under patent, trademark, or copyright laws or common law" In
addition, each recipient shall be responsible for securing and disposing of all other legal
claims, such as copyrights, to any publication or other original creation made or conceived in
the course of research or other activity supported by a faculty research giant.-The recipient
must give the University reasonable nntirr. nf on Tri;nnt;nn hy ym,r]f Gr any othcTT
ication for a copyright the
d
pp pyg p shall gra
exclusive, and irrevocable licnnnn, thrmmh™,t *h
f j
the U
and
7
rToii
perform, display, or othorwir.P. im
li h
nj
dapt pubiiS
p ion Nhi'
icy, however, shall conflict vith rht
othin-in
r me uoaiU ul
Regents of the University.
12. Nothing in this policy shall conflict with State or Federal law or with the policies of the Board
of Regents of the University. J
[Delete the sections on Criteria for Evaluating Family Research Grant Proposals M*thnH
Faculty Research Grant Proposals, and Allocation of Faculty Researrh F.mn« ctn~ *w
focused on procedures and subject to modification by the University Research Council.]
f Fvnl
Detailed instructions and tho necessary form.-,
submission deadlines will be provided by thn Offi
l fl h
p
of RcxoiLh
nf Fnni1t
ns will be provided by thn Office of RcxoiLh SluLcI For inforZtioVonc^teiiafor
evaluating faculty research grant proposals, methods of evaluating faculty research grant proposals
<"o^soredptcfra^s pr°gmm &uxdelines> and application procedures contact the Office of Research and
Source of Authority: Texas Education Code, sec. 141.001 etsea.: 7 U S C sec 2m- 0 pfr
P^t3; 17^C, sec. 101; 37 CFR Parts 203 and 204; 35 U.S.C.^ef 01; 42 fee sec 289 4?
CFR Part 46; President; Vice President for Academic Affairs '
Cross Reference: University Policy D-20, Intellectual Property
fa» Vice Presiien,for Graiuau
Forms: None
Norton HPE Complex Index B-20
Original Implementation: Summer, 1975 Page 1 of 2
Last Revision:-498$January, 1998
The provisions of the policy for Use of University Facilities govern the use of all
buildings, facilities, equipment and grounds, hereinafter referred to as facilities, under the control
of Stephen F. Austin State University. That policy provides that the University may establish
additional procedures for the reservation and use of specific facilities; therefore, the following
provisions apply to the Norton HPE complex.
The Lucille Norton HPE Complex is intended primarily for the use of SFASU students. The first
priority use is for instruction, the second priority is for organized intramurals, and the third for
recreation of students, faculty, and staff and fourth for summer camps with a building maintenance
fee attached.
University-sponsored groups may apply for use of the complex in accordance with the policy on
Use of University Facilities. Application for the use of the Complex and tennis courts shall be
made to the Chairman: of the HPE Kinesiology and Health Science Department, and for other
outside recreational areas, to the Director of Intramurals. These request are normally honored
provided the before mentioned guidelines are met.
Outside groups may apply for use of the Complex in accordance with University regulations. Area
public schools are usually granted permission to use the tennis courts and, on rare occasion,
Shelton Gym, for district and/or regional playoffs. Requests other than these require
administrative approval by the respective vice president(s) and/or the President of the University.
The following are specific guidelines for the use of the Norton HPE Complex by faculty and staff.
1. Faculty and staff I.D. card required to use facilities and/or check out equipment
2. No charge for use of facilities or pool by faculty or staff members; faculty/staff
families have access to outdoor pooly at a cost of $10- $20 and the tennis courts at no
cost. There is no access to the complex for faculty/stafffamilies.
| 3. ■ Family swim passes ($40 20) may be purchased at the Ticket Office and faculty/staff
locker fee ($4 per semester) paid at the University Business Office.
| 4. Full time F/aculty and staff participation permitted in organized intramurals
I ^ Lap swim (indoor pool) for faculty/staff 7:00 am to 7:50 am
I 65v Racquetball courts available by reservation at the equipment room; individuals must
I reserve a court in person (with I.D.); only one hour per week
| 76. Indoor recreation area open:
Monday - Thursday £00- 3;00 p.m. to 10:00 p.m.
Friday &00-1:00 p.m. to 9:00 p.m.
Saturday 10:00 a.m 12 noon, to 6:00 p.m
Sunday 1:00 p.m. to 9:00 p.m.
Index B-20
Page 2 of 2
Source of Authority: Board of Regents, President, Vice President for Academic
Affairs, Vice President for University Affairs
Cross Reference: Intramural Handbook
Contact for Revision: Chair of the Department of Kinesiology and Health
Science; Director oflntramurals
Forms: None
Agency Accounts C-1.2
Original Implementation: January 20, 1998
Last Revision: None
Funds held in agency accounts are held by the institution acting as the custodian or fiscal agent. The
money is deposited with the University for safekeeping, to be used or withdrawn by the depositor at will.
These funds may be held on behalf of students, faculty, staff, organizations, or some other third party.
Agency accounts will be assigned account numbers in the 09xxxx series. The University reserves the right
to commingle these funds with University cash accounts deposited in banks external to the institution.
Agency accounts will not accrue interest in any manner nor will administrative costs or fees be assessed by
the University to the account, except for specifically identified bank charges related directly to the agency
funds. These funds will be accounted for with the same level of safekeeping as funds owned by the
University. See Policy C-34, Request to Establish an Account, to establish an account. The University
reserves the right to not establish agency accounts which create unreasonable obligations for the University
or for other reasons within the institution's sole discretion. Establishment of agency accounts must be
related to the mission of the University. Should owners of any agency account wish to conduct an audit
independent of the University's own initiative, they may do so, and must obtain their own Auditor with
their own funds. These accounts are subject to review by University and other state agency officials, or
those with authority to do so under law.
Agency accounts are not permitted to have negative balances. Should negative balances inadvertently
occur, the University may assess all costs associated with collecting funds owed to the institution including
but not limited to: a $25 institutional fine each time an account goes into a negative balance, collection
agency costs, interest, and legal fees and costs associated therewith.
Source of Authority: Vice President for Business Affairs
Cross Reference: None
Contact for Revision: Controller
Forms: See forms for Request to Establish an Account, Policy C-34
Food Services Index C-13.5
Original Implementation: January, 1998 Page 1 of 1
Last Revision: None
The University is committed to providing students the opportunity to participate in the selection and
evaluation of the food service contractor. Students are encouraged to participate by attending
regularly scheduled meetings of the Food Service Advisory Committee. The Advisory Committee
provides the Director of Auxiliary Services and food service contractor with immediate feedback on
issues and concerns of the students.
During the last year of each contract term, the University will ask the Food Service Advisory
Committee to participate in the formal evaluation of the food service program. Should the
University decide to retain the contractor, the Advisory Committee will assist the Director of
Auxiliary Services in the preparation of the terms and conditions of the new contract.
Should the decision be made to re-bid the contract, an ad hoc committee will be convened. The
committee will be appointed by the Vice President for University Affairs and will include members
of the Advisory Committee, the faculty and administration.
Source of Authority: Section 51.940, Texas Education Code; Board of Regents; President;
Vice President for University Affairs
Cross Reference: Stephen F. Austin State University Web Page
Contact for Revision: Director of Auxiliary Services
Forms: None
DRIVER CERTIFICATION D-10
Original Implementation: May 4,1983
Last Revision: November 10, \V%yjanuary 20, 1998
Driver certification is required for any University employee who must drive a University vehicle within the
scope of his/her employment. Such certification is processed through the University Police Department
(UPD). An "Application Approved Drivers Certification" form is obtained from the Administrative
Secretary in UPD and should be signed at the bottom by the applicant's department head. In addition to the
nppiintinn thn TTniirarrfy employee mu:t complete a "P.cquc:t For Information From Tcica: Driver
d" f Th
py p q For In
Licensing Records" (LIDR 1) form. The Employee mUit uturn the LIDR 1 foun to his/her dopaitmml
head. The department head must forward to tho University Business Office thr I.IDR 1 form accuuiuduiul
^1CTI[^U^.:ZVmKhZ- ^ U^rsity Dusine3J Oflkn rv]]] IDT me a^apriate depar^enTal
account for tho required fnn -mH frnirnrrl thn t mp ] frrm nnr| pa:>incnt to Au:tin.
Upon receipt of the driving record report from Austin, and in compliance with University requirements
UPD will: (a) issue a temporary permit valid for 180 days, (b) issue a permanent permit valid for two '
years, or (c) deny driver certification.
A defensive driving course must be completed in order to receive a permanent permit and must be
completed every three years to maintain the permanent permit. The temporary permit is issued- (a) prior to
completion of the defensive driving course and (b) for specific-use purposes, such as an academic field trip.
Source Of Authority: Board of Regents, President, Vice President for
University Affairs
Cross Reference: None
Contact For Revision: President
Forms: Application Approved Drivers Certification^. T?»gnnrt w Tnfrrmnfjnn from Toki: Drivm
Licensing Records (both available in tho University Police Department)
Faculty/Staff Traffic Appeals D_12
Page 1 of 3
Original Implementation: March 2,1981
Last Revision: UeaeJanuary 20, 1998
The purpose of this procedure is to insure due process of law to any faculty/staff member charged with a
violation of the University's parking regulations.
Any faculty/staff member at Stephen F. Austin State University may appeal a T¥P&4-parking citation by
submitting an application for appeal to the Faculty/Staff Traffic Appeals Board within seven (7) working
days of the issuance of the citation. Applications for appeal are obtained at the University Police
Department. On the application the faculty/staff member will select which of the listed hearing dates are
compatible with his/her schedule. °
Composition and Jurisdiction of Faculty/Staff Traffic Appeals Board
Composition
1. The Faculty/Staff Traffic Appeals Board shall be composed of seven (7)
faculty/staff members appointed by the President, in consultation with
the Vice President for Academic Affairs, the Vice President for Business
Administrative and Fiscal Affairs, the Vice President for University
Affairs, and the Faculty Senate. The Student Traffic Appeals Board and
the Faculty/Staff Traffic Appeals Board shall select one of its members
to serve as an ex officio member on the other board with all privileges
of membership except the right to vote and to hold office. The Faculty/
Staff Traffic Appeals Board shall elect its Chairperson.
2. The members of the Faculty/Staff Traffic Appeals Board shall serve
three-year staggered terms.
3. Any member of the Board who receives three (3) or more traffic (including
parking) citations within any regular semester shall be disqualified as a
member and replaced for the unexpired term. Vacancies will be filled
with the appointment of a new member by the President.
Jurisdiction
The Faculty/Staff Traffic Appeals Board shall have original jurisdiction over all T¥PE4-parking citations
issued by the University Police Department.
Summoning Procedure
Notice
Within ten (10) days of the appeal application date, the Chairperson of the Faculty/Staff Traffic Appeals
Board shall inform the applicant in writing of the time and place of his/her hearing. The hearing will be
within thirty (30) days of the appeal application date.
Failure to Appear
The failure of the appellant to appear at the time appointed for his/her hearing shall forfeit his/her right to a
hearing and shall constitute a waiver of the rights granted by these procedures, unless the Faculty/Staff
Traffic Appeals Board excuses the absence for good cause shown.
Conduct of Hearing
Sessions
Index D-12
Page 2 of3
The Faculty/Staff Traffic Appeals Board shall determine in September of each year the schedule of hearing
dates for the fall and spring semesters and publish these dates on the appeals application form. The °
Chairperson may cancel a hearing if, in his/her judgment, it is not required due to the lack of appeals
brought to the Board. Hearings will be scheduled by the Chairperson as required during the summer.
The hearings shall be heard during regular business hours of the University. Where possible they shall be
scheduled by the Chairperson at a time convenient to both the parties and the panel members The
University and its police department shall be parties in all appeals brought before the Board.
Appellant's Rights
The appeals application form and the hearing notice from the Faculty/Staff Traffic Appeals Board shall
among other things, inform the faculty/staff member of his/her rights:
1. to be accompanied by one (1) representative;
2. to know the identity of the police officer who issued the citation;
3. to summon his/her own witnesses, produce evidence, and to speak in his/her
own defense;
4. to cross-examine witnesses testifying against him/her;
5. to inspect and copy the record of the hearing at his/her cost.
Rules of Procedure
1. The Board may hear appeals for parking citations for which an application
to appeal has been filed in accordance with these rules.
2. Each citation shall be appealed separately.
3. Each appeal shall be heard and decided on its own merit.
4. The Board may examine, cross-examine, call, recall, and dismiss any
witness.
5. The Board may limit the number of witnesses whose testimony will be
repetitious and establish time limits for testimony so long as all
viewpoints are given a reasonable opportunity to be expressed.
6. The Board shall maintain an adequate record of each hearing. Summary
notes shall be deemed an adequate record for this purpose.
7. The Chief of the University Police Department, or his/her delegate, may
represent the University in any hearing.
8. The Board may enter into closed session for deliberation at the conclusion
of the presentation of evidence.
Index D-12
9. The Board's judgment must be rendered within three (3) working days of ^
the hearing.
10. A member of the Board must excuse himself/herself from any appeal in
which he/she is involved, or in which a member of his/her family is
involved.
Findings and Sanctions
Findings
The Board shall decide only whether or not the defendant is guilty of the parking offense as charged in the
citation.
Sanctions
The service charges for each offense are established by the Board of Regents and may not be reduced or
eliminated by the Faculty/Staff Traffic Appeals Board if the individual is found guilty of the parking
offense. &
Source Of Authority: President
Cross Reference: None
Contact For Revision: President
Forms: None
Health And Safety D-17
Original Implementation: February 11,1977
Last Revision : May 26,1987 January 20,1998
This document will establish for Stephen F. Austin State University the policy for
the protection of the University's human and material resources and the
maintenance of a safe and healthful environment complementary to the
University's needs and the accomplishment of its goals.
The intention of this policy statement is to create among all members of the
University community an awareness of and a commitment to an effective safety
program. The primary concern of this program will be the safety and well-being
of the students, faculty, staff and visitors. The program will be promoted through
training, identification of hazards, and initiation of loss-control measures aimed at
the overall reduction of accidents and risk.
Responsibility for, and the coordination of, the various aspects of the University's
safety program is vested in the University Environmental Safety and
Health/Radiation Committee which reports to the President of the University.
The Committee will be composed of the Radiation Safety Officer, the Chief of
University Police, and other faculty and staff members appointed by the President.
The Director of University Health Services, the Director of Safety, the Director of
Hazardous Material Control, and the Assistant Safety Director acting as the
Workman's Compensation Representative are ex officio members. The
Committee will meet at intervals necessary to fulfill its responsibilities as a
clearinghouse and consultative organization for the University safety and health
problems, a liaison between the University and the State Employees Workers'
Compensation Division of the Office of the Attorney General of Texas, and an
advisory body reporting to the President on the status of the University's safety
control activities.
The Occupational Safety and Health Program for Texas State Agencies, published
by the Attorney General of the State of Texas, is the program document for the
University's safety program except as noted in item 1 below. Responsibilities are
assigned to individuals at appropriate levels of authority and expertise as follows.
1. The responsibility for physical safety, fire protection, occupational health,
and engineering controls is assigned to the Director of Safety, who reports
to the Vice President for Administrative; and Fiocal Business Affairs. The
Director of Safety will assume the duties of Accident Prevention
Coordinator. The Assistant Safety Director acting as the Workers'
Compensation Representative Claims Coordinator associated with the
State Employees Workers' Compensation Division of the office of the
Attorney General of Texas shall report to the Director of Safety.
D-17
Page 2 of 3
2. The responsibility for radiological safety, including the purchase,
transportation, use, storage, and disposal of radioactive materials is
assigned to the Radiation Safety Officer who reports to the President of
the University. The Radiation Safety Officer will assume the
responsibility for the Radioactive Materials Management Program to
assure compliance with the conditions of the license/registrations issued
by the Texas Bureau of Radiation Control, Texas Department of Health.
3. The responsibility for control of hazardous materials, including use,
storage, and disposal of regulated hazardous materials, as well as the
responsibility for compliance with the Texas Hazard Communication Act,
is assigned to the Director of Hazardous Material Control who reports to
the President of the University.
4. The responsibility for campus security, traffic control, criminal
investigation, and civil order is assigned to the Chief of University Police
who reports to the Vice President for University Affairs.
5. The responsibility for the maintenance of the health of students and the
initial care of the faculty and staff members suffering from minor
occupational injuries or illness is assigned to the Director of University
Health Services, who reports to the Vice President for University Affairs.
In addition to the aforementioned and specifically-assigned responsibilities, it
shall be the general responsibility of all faculty and staff members to attempt to
recognize hazards in their areas of activity and to take positive action to reduce or
eliminate those hazards. Staff members shall be responsible for the education of
their employees and students in regard to proper job procedures and recognized
hazards before making task assignments.
In all University activities and endeavors, safety is the first concern. The
members of the University community shall comply with all statutes, rules,
regulations and codes by which the University is bound. They shall also attempt
to comply with the spirit of any non-binding requirement which would further the
University's intent to provide and maintain a safe and healthful environment in
which to work, study, and live.
D-17
Page 3 of 3
SOURCE OF AUTHORITY: President
CROSS REFERENCE: None
CONTACT FOR REVISION: President, University Safety Director
FORMS: None
Illicit Drugs and Alcohol Abuse Index D-19
Original Implementation: September 1,1986 Page 1 of 7
| Last Revision: Septombor, \990 January, 1998
It is the declared policy of the United States Government to create a Drug-Free America by
1995. As a part of that policy, the Drug-Free Workplace Act of 1988, P.L. 100-690 Subtitle
D was adopted. On December 12,1989, President Bush signed the Drug-Free Schools and
Communities Act Amendment of 1989, P.L. 101-226, which amends provisions of the Dru*-
Free Schools and Communities Act of 1986 and the Higher Education Act of 1965 University
policies relating to the use of illegal drugs and alcoholic beverages have been established by the
Board of Regents of Stephen F. Austin State University in compliance with state and federal
law.
Standards of Conduct
University policy prohibits all employees (full-time and part-time faculty, staff, and students)
from engaging in the unlawful manufacture, distribution, dispensation, possession or use of a
controlled substance or alcoholic beverage in the workplace, or reporting to work under the
influence of alcoholic beverages or illegal drags. None of the funds appropriated to the
University by the State Legislature for travel expenses may be expended for alcoholic
beverages.
University policy further stipulates, with regard to students, that the unauthorized use of
intoxicating beverages on University property or at University sponsored activities including
but not limited to, intercollegiate and intramural athletic events is prohibited Alcoholic
beverages are not permitted in University residence halls. With regard to student apartments
state law prohibits individuals under 21 years of age from possessing or consuming alcoholic
beverages.
It is the policy of Stephen F. Austin State University that any unlawful manufacture
possession or delivery of any controlled substance or illegal drag is strictly prohibited
Moreover it is the policy of the State of Texas and of this University that this institution will be
free of illegal drags as it can possibly be.
Health Risks
Alcohol Abuse.
Alcohol is a primary and continuous depressant of the central nervous system. Impairment of
judgment and of recently learned, complex and finely tuned skills begins to occur at blood
alcohol concentrations as low as 0.025 percent. These impairments are followed by the loss of
more primitive skills and functions, such as gross motor control and orientation at
concentrations in excess of 0.05 percent. Alcohol in moderate doses impairs nearly every
aspect of information processing, including the ability to abstract and conceptualize the ability
to use large numbers of situational cues presented simultaneously, and the cognitive ability to
determine meaning from incoming information. Alcohol consumption can therefore promote
action on impulse without full appreciation of, or concern about, the potential negative
consequences of such action. Chronic long-term effects of heavy drinking overt period of
years can result in brain damage, cancer of the mouth, esophagus or stomach, heart disease
liver damage resulting in cirrhosis, alcoholic hepatitis, and cancer of the liver, peptic ulcer '
disease and possible damage of the adrenal and pituitary glands. Prolonged excessive
drinking can shorten life-span by 10-12 years
Index D-19
Page 2 of 7
Dlicit Drugs.
Elicit drugs include narcotics, such as heroin or morphine; depressants, such as barbiturates
Quaaludes, or valium; stimulants, such as cocaine or "crack"; hallucinogens, such as PCP '
LSD or mescaline; cannabis, such as marijuana or hashish; inhalants, such as nitrous oxide
amyl nitrite (poppers) or various hydrocarbon solvents; and designer drugs, such as China '
White, methamphetamine (Ecstacy) ormeperidine (Demerol).
Narcotics. Narcotics initially produce a feeling of euphoria that is often followed by
drowsiness, nausea and vomiting. Tolerance may develop rapidly and dependence is likely
The use of contaminated syringes may result in diseases such as AIDS, endocarditis
(inflammation of the lining of the heart) and hepatitis.
Depressants. The effects of depressants are in many ways similar to the effects of alcohol
Small amounts can produce calmness and relaxed muscles, but a somewhat larger dose can
cause slurred speech, ataxia or unstable gait and altered perception. Very large doses can cause
respiratory depression, coma and death. The combination of depressants and alcohol can
multiply the effects of the drugs, thereby multiplying the risks. The use of depressants can
cause both physical and psychological dependence.
Stimulants Cocaine stimulates the central nervous system. Its immediate effects include
dilated pupils; elevated blood pressure, heart and respiratory rate; and body temperature
Occasional use can cause a stuffy or runny nose, while chronic use can ulcerate the mucous
membrane of the nose with long-term use eroding the nasal septum. The injection of cocaine
with unstenle equipment can cause AIDS, hepatitis and other diseases. Preparation of
freebase, which involves the use of volatile solvents, can result in death or injury from fire or
explosion Cocaine can produce psychological and physical dependency. In addition
tolerance develops rapidly. Crack or freebase rock is extremely addictive. The physical effects
include dilated pupils, increased pulse rate, elevated blood pressure, insomnia, loss of appetite
tactile hallucinations, paranoia and seizures. Overdoses occur easily.
Hallucinogens. Phencyclidine (PCP) users frequently report a sense of distance and
estrangement. Time and body movement are slowed down. Muscular coordination worsens
and senses are dulled Speech is blocked and incoherent. Chronic PCP users report persistent
.memory problems and speech difficulties. Mood disorders, such as depression, anxiety and
violent behavior, may also occur. In late stages of chronic use, users often exhibit paranoid
Sir°H ^,aV10^ ™d tx¥™nct hfucinations. Large doses may produce convulsions and
coma heart failure, lung problems and/or ruptured blood vessels in the brain. Lysergic acid
(LSD), mescaline and psilocybin cause illusions and hallucinations. The physical effects mav
include dilated pupils, elevated body temperature, increased heart rate and blood pressure loss
of appetite, sleeplessness and tremors. Sensations and feelings may change rapidly It is'
common to have a bad psychological reaction to LSD, mescaline and psilocybin. the user mav
experience panic, confusion, suspicion, anxiety and loss of control. Delayed effects or
flashbacks can occur even after use has ceased.
Inhalants. The chemicals in most inhalants are rapidly absorbed in the lungs and exert their
central nervous system effects within seconds, producing an altered mental state for about five
to fifteen minutes Immediate effects of inhalants include nausea, sneezing, coughing nose
bleeds, fatigue, lack of coordination and loss of appetite. Solvents and aerosol sjraylcan
Index D-19
Page 3 of 7
decrease the heart and respiratory rates and impair judgment. Amyl and butyl nitrite can cause
rapid pulse, headaches and involuntary passing of urine and feces. Inhalation of toluene as
well as other hydrocarbons has been associated with kidney and liver damage, peripheral nerve
problems, convulsions, encephalopathy (organic brain damage) and other central nervous
system disorders. Sudden death associated with both glue sniffing and especially the
inhalation of aerosols containing halogenated hydrocarbons (Freon) has been reported and is
thought to be secondary to cardiac arrhythmias (abnormal electrical conduction patterns in the
heart).
Marijuana. The short term effects of marijuana include distortion of time perception, increased
heart rate, dilation of blood vessels and loss of short term memory. Also decreased are visual
perception and psychomotor skills, which have adverse effects on driving ability. The effects
of long term use include loss of motivation, chronic bronchitis, decreased vital lung capacity
and an increased risk of lung cancer. Tolerance and psychological dependence do develop with
marijuana.
Designer Drugs. Designer drugs are synthetic chemical modifications of older drugs of abuse
that are designed and manufactured in covert laboratories and sold at great profit for
recreational use. These drags can be several hundred to several thousand times stronger than
the drags they are designed to imitate. Designer drags similar to opiates include fentanyl
demerol, and "china white." The narcotic analogs of designer drags can cause symptoms such
as those seen in Parkinson's disease - - uncontrollable tremors, drooling, impaired speech
paralysis, and irreversible brain damage. Analogs of amphetamines and methamphetamines
cause nausea, blurred vision, chills or sweating and faintness. Psychological effects include
anxiety, depression, and paranoia. Withdrawal problems include sweating, diarrhea, fever
insomnia, irritability, nausea and vomiting and muscle and joint pain.
University Penalties
Students.
Any student who is determined through the regular disciplinary procedures of the University
to have violated the policy on the use of illicit drags will be suspended from the University for
no more than two years and no less than the remainder of the current semester.
University sanctions imposed for alcohol possession or consumption include the following.
» First offense - The student is placed on Conduct Probation for a period of six months and is
required to attend an alcohol awareness class provided through the University's Counseling
and Career Services nffioe J B
» Second offense - The student is placed on Disciplinary Probation for a period of twelve
months. This sanction may include the condition that continued participation in campus
activities will be curtailed or restricted for that same period.
» Third offense - The student is suspended from the University.
Index D-19
Page 4 of 7
Employees.
Observance of the policy regarding alcoholic beverages and illegal drugs is a condition of
employment for all University employees. An employee violating this policy shall be subject to
employment discipline up to and including termination, or shall be required to undergo
satisfactory participation in a drug abuse assistance or rehabilitation program.
Any employee directly engaged in the performance of work pursuant to the provision of a
federal grant or contract who is convicted of violating a criminal drug statute shall notify his/her
immediate supervisor of the conviction no later than five days after the conviction The
immediate supervisor shall promptly report the conviction to the appropriate vice president and
the Director of Research Services. On behalf of the University, the Director of Research
Services shall notify the federal agency grantor or contractor of the conviction within ten days
of the University s receipt of notice from the employee or of receipt of other actual notice.
State and Federal Penalties
Offense
Federal Law
Minimum Punishment Maximum Punishment
Manufacture, distribution or
dispensing drugs (includes
marijuana)
Possession of drugs (including
marijuana)
Operation of a common carrier
under the influence of alcohol or
drugs
A term of imprisonment not
more than eae-20 years, and a
minimum fine of $1,000,000
Civil penalty in amount not to
exceed $10,000
A term of life imprisonment
without release (no eligibility
for parole) and a fine not to
exceed $84,000,000 (for an
individual) or $20,000,000 (if
other than an individual)
Imprisonment for not more than
20 years or not less than 5 years,
a fine of not less than $5,000
plus costs of investigation and
prosecution
Imprisonnment for up to 15
years and a fine not to exceed
$250,000
Index D-19
Page 5 of 7
Offense
Texas Law
Minimum Punishment Maximu sh
Manufacture or delivery of
controlled substances (drugs)
Possession of controlled
substances (drugs)
Delivery of marijuana
Possession of marijuana
Driving while intoxicated
(includes intoxication from
alcohol, drugs, or both)
Public intoxication
Purchase p_i consumption o_i
possession of alcohol by a minor
Sale of alcohol to a minor
Confinement in the Texas
Department of Corrections (TDC)
Criminal Justice State Jail
facility for a term of not more
than 40 2 years or less than 2
yeafs7£0 days, or confinement
in a community correctional
facility for not more than 1 year,
and a fine not to exceed $10,000
Confinement in jail for a term of
not more than 180 days, and a
fine not to exceed-W7OOO52,000
Confinement in jail for a term of
not more than 180 days, and a
fine not to excecd-$±1QQQ$2,000
Confinement in jail for a term not
to exceed 180 days, and a fine not
to exceed-£4£0O52,000
Confinement in jail for a term of
not more than two years or less
than 72 hours, and a fine of not
more than $1,000 or loss than
$40052,000
Fine of not less than $25 nor
more than 5500$OOO
Fine of not less than $100 nor
more than $500-^4,000or
Confinement in TDC for life or
for a term of not more than 99
years or less than 7500 years,
and a fine not to exceed
$500,0005250,000
Confinement in TDC for life or
for a term of not more than 99
years or less than 4075 years,
and a fine not to exceed
$100,0005250,000
Confinement in TDC for life or
for a term of not more than 99
years or less than 44 70years, and
a fine not to exceed
$0^0005700,000
Confinement in TDC for life or
for a term of not more than 99
years or less than 15 yoars5
years, and a fine not to exceed
$250,000550,000,
Confinement in jail for a term of
not more than two years or less
than 30 days, or confinement in
TDC for a term of not more than
470 years or less than-6O4ays2
years, and a fine of not more-tbaft
$2,000 or loss than
$500570,000
A fine not to exceed-$OOO5500
For a subsequent offense, a fine of
not less than $400^5250 nor
more than-$5QO$2,000
For a subsequent offense, a fine of
not less than $500-^250 nor
more than-W7OOO-52,000or
confinement in jail for not more
than 1 year 180 days or both
Index D-19
Page 6 of 7
Counseling. Treatment and Rehabilitation
Students.
Stephen F Austin State University, through the Counseling and Career Services office, provides
an alcohol/drug abuse prevention program which is available to all students. Program components
include assistance in abstaining from the use of chemical substances, early intervention when
chemical abuse is detected, and referral to a campus support system and/or a community referral
for inpatient/outpatient services not available on campus. Medical counseling and printed
information on chemical dependency are available through University Health Services, the campus
g^ent healtii facility. Students may seek individual counseling or request printed information at
Prevention/Education. The objectives of this element of the assistance program are to- increase
awareness of the students, faculty, and staff concerning the psychological and health risks
associated with chemical use; provide information to students regarding a variety of wellness
issues which promote successful college adjustment; and, orient students, faculty and staff to the
services available through the assistance program. Presentations are available to student groups on
a variety of topics including alcohol and substance abuse, adult children of alcoholics
assertiveness skills, stress and time management, self-esteem and related issues A group
representative should contact the Counseling and Career Services office to schedule a presentation
The assistance program also offers an Alcohol Awareness Workshop. The four-hour workshop '
divided into two sessions provides basic information, tools for self-assessment, information on
University and state regulations, and an orientation to the assistance program. Students mav
request to attend the workshop or be referred by the Dean of Student Development.
Referral/Assessment. Any SFA student requiring information about, or assistance with a
chemical abuse problem may be referred to the assistance program. A student may initiate a self-referral
by contacting the Counseling and Career Services office; University faculty and staff mav
initiate a student referral. Participation by a student is voluntary/except when mandated by the
Dean of Student Development. A staff counselor conducts an assessment interview on the
student s initial visit to Counseling and Career Services and provides the student with details
regarding confidentiality and record keeping requirements. The counselor informs the student of
alternatives and makes recommendations based on the student's needs
Campus Support System. The assistance program serves as a link between the individual student
and support groups which are available for chemical dependency, adult children of alcoholics and
Career S°avfces ^ ^^ fanCtion Under g"^111165 established by Counseling and
Community Referral Services for chemical dependency are available in the Nacogdoches
community and include: private practitioners offering individual counseling or
mteUectual/psychological assessment; self-help groups such as Alcoholics Anonymous and
Narcotics Anonymous; and, inpatient/outpatient treatment
Employees.
University employees with supervisory responsibilities should be cognizant of employee behavior
related to unacceptable job performance which may result from drug or alcohol abuse! Any
Index D-19
Page 7 of 7
decision to initiate employee counseling or a referral to Personnel Services should be based on the
employee s unacceptable job performance. Employee counseling, referral and related record
keepmg should be conducted with the degree of care and confidentiality appropriate to such
personnel matters. Assistance beyond preliminary counseling through Personnel Services is
available to University employees through the Employee Wellness Program with Memorial
Hospital of Nacogdoches. Alcohol and drug abuse seminars are among the services provided cost-free
to University employees. Other services for employees with a chemical dependency are
available in the community, including private practitioners offering individual counseling self-help
groups such as Alcoholics Anonymous and Narcotics Anonymous, and inpatient/outDatient
treatment at various health care facilities.
It is the intent of Stephen F. Austin State University to continue to strive for a drup-frep. ramnng
and to comply with state and federal regulations regarding prevention programs estah1ishP7^~
ehminate the illegal use of drugs and alcohol a W To th\c PnH Qt^jj^ F Ali:tin gt3tc
University will provide annually to each student and employee a copy of this drug and alcohol
abuse prevention program. In addition, the University will conduct a biennial review of this
program implemented to provide a learning and working environment free of drug and alcohol use
The purposes of the biennial review will be to: 1) determine the effectiveness of the program and '
implement needed changes; and 2) ensure that the sanctions included in the program are
consistently enforced. The University's General Counsel will be responsible for initiating the
nifinnifll review c 6
Source of Authority: PL. 100-690, sec. 5151 etsea.;P.L. 101-226, which amends
provisions of the Drug-Free Schools and Communities Act of 1986 and the Higher
Education Act of 1965; General Appropriations Act; Board of Regents; President
Cross Reference: None
Contact for Revision: General Counsel
Forms: None
Petitions and Handbills Index D-25
Original Implementation: July, 1980 Page 1 of 3
| Last Revision:-Nefte/am*ary 1998
These rules shall govern the circulation and distribution of all petitions and handbills on
University property.
1. These rules shall apply to students, faculty, and staff, and their approved
organizations.
2. However, these rules do not apply to:
a. the University, and its agents, servants, or employees, acting in the
course and scope of their agency or employment; and
b. the Stephen F. Austin State University Alumni Association and the
Stephen F. Austin State University Foundation.
3. Students, faculty, and staff, and their approved organizations, may circulate and
distribute petitions and handbills on University property, except in academic
buildings unless otherwise authorized by law. Circulation and distribution must be
conducted in compliance with these rules and University policy and must not:
a. result in a breach of peace or violation of law;
b. interfere with the free and unimpeded flow of pedestrian and vehicular
traffic; or
c. materially disrupt or interfere with the normal activities of the University.
4. The person or organization must deposit in the Office of Student Development a
true and correct copy of the petition or handbill to be circulated or distributed on
University property, at least twenty four (21) hours in advance of tfao circulation or
distribution. Each petition and handbill deposited with the Office of Student
Development shall bear the signature of the person, or if an organization, the
signature of its authorized representative, as well as, the organization's address and
telephone number.
5. Each petition and handbill to be circulated or distributed on University property
shall identify the person or organization displaying or distributing it.
6. The person or organization shall clean and remove any litter which results from the
circulation and distribution of its petitions and handbills.
7. No person or organization may circulate or distribute a petition or handbill that:
a. violates the University's policy on solicitation;
b. contains material that is obscene or libelous; or
c. advocates the deliberate violation of law. For the purposes of this section
"advocacy" means preparing the group addressed for imminent action and
steeling it to such action, as opposed to the abstract espousal of the moral
propriety of a course of action.
8. In addition to these rules, petitions and handbills to be circulated and distributed by
students, faculty, and staff, and their approved organizations, in:
Index D-25
Page 2 of 3
a. residence halls must comply with the rules governing residence halls; and
b. the University Center must comply with the rules governing the University
Center.
Petitions and Handbills of Visitors
These rules shall govern the circulation and distribution of all petitions and handbills on
University property by visitors.
1. Visitor shall mean a person who is not presently enrolled as a student nor is
presently employed by the University.
2. a. Visitors may circulate and distribute petitions and handbills in the Free
Expression Area of the University between 8:00 a.m. and 7:00 p.m.,
Monday through Saturday. Circulation and distribution must be
conducted in compliance with these rules and University policy and must
not:
(1) result in a breach of peace or violation of law;
(2) interfere with the free and unimpeded flow of pedestrian and
vehicular traffic; or
(3) materially disrupt or interfere with the normal activities of the
University.
However, during registration, visitors that can present to the Vice
President for Administrative and Fiscal Affairs written evidence from the
Internal Revenue Service that the organization has been granted an
exemption from taxation under 26 U.S.C.A. 501 (c) (3) and (d) (Internal
Revenue Code) may circulate and distribute petitions and handbills in
areas designated in advance by the Office of Student Development.
b. Reservations must be made in writing through the Office of Student
Development at least forty-eight (48) hours in advance of the activity in
order to facilitate orderly scheduling of the area. The visitor must deposit
with the Office of Student Development a true and correct copy of the
petition or handbill to be circulated or distributed on University property.
Each petition and handbill deposited with the Office of Student Development
shall bear the signature of the person, or if an organization, the signature of
its authorized representative.
3. Each petition and handbill to be circulated or distributed on University property
shall identify the person or organization displaying or distributing it.
4. The visitor shall clean and remove any litter which results from the circulation and
distribution of his/her petitions and handbills.
5. No visitor may circulate or distribute a petition or handbill that:
a. violates the University's policy on solicitation;
b. contains material that is obscene or libelous; or
Index D-25
Page 3 of 3
c. advocates the deliberate violation of law. For the purposes of this
section, "advocacy" means preparing the group addressed for imminent
action and steeling it to such action, as opposed to the abstract espousal
of the moral propriety of a course of action.
Source of Authority: United States Constitution, Amendments I and XIV; President-
Vice President for University Affairs
Cross Reference: Student Handbook and Activities Calendar Stephen F. Austin State
University Web Page
Contact for Revision: Dean of Student Development
Forms: None
Solicitation Index D-33
Original Implementation: July, 1980 Page 1 of 4
| Last Revision: October, 19&7 January, 1998
Definitions
1. Solicitation means the sale or offer for sale of any property or service, whether for
immediate or future delivery, and the receipt of or request for any gift or contribution.
However, this term does not apply to an appointment between a student, faculty member,
or employee, and another person (solicitor), if the appointment does not interfere with or
disturb the normal activities of the student, faculty member, or employee, or the
University.
2. Campus shall mean all real property over which the University has possession and
control by law.
| 3. University group shall mean a registered recognized student, faculty, or staff
organization.
4. Outside group shall mean any organization or group that is not included within the teim
"University group."
5. University agent shall mean a person acting in the course and scope of his/her
| employment on behalf of an academic-seheel- college, department, or program, or a
University council, committee, or auxiliary enterprise.
6. University function shall mean any activity directly sponsored by the University.The
term shall include, but not be limited to, activities such as the Fall Carnival and the East
Texas County Fair.
Application
1. University functions shall be governed by other policy.
2. Religious groups not affiliated with the University shall be governed by the section on
Religious Groups of this policy.
3. Or. Offers to buy complimentary copies of textbooks are specifically prohibited
anywhere on the campus or in any building.
Time. Place. And Manner Regulations
1. No solicitation shall be conducted in any building or structure on the campus. However,
the following activities shall not be deemed to be solicitations prohibited by this section:
a. During registration periods, the sale or offer for sale of
any newspaper in an area designated by the appropriate
University official.
b. The sale or offer for sale of any newspaper, magazine,
or other publication by means of a vending machine in
an area designated in advance by the appropriate
Index D-33
Page 2 of 4
University official.
c. The sale or offer for sale of any food or drink item by
means of a vending machine in an area designated in
advance by the appropriate University official.
d. The sale or offer for sale of any publication of the
University or of any book or other printed material to
be used in the regular academic work of the University.
e. The operation by the University or its subcontractor of
any bookstore, specialty store, laundry service, cafeteria,
University Center, or other service facility maintained
for the convenience of the students, faculty, and staff.
f. The sale or offer for sale by the University or its sub
contractor of food and drink items, programs, and
tickets at athletic contests.
g. The collection of membership fees or dues by a
University group.
h. The collection of admission fees for the exhibition of
movies or other programs that are sponsored by the
University, or a University group, and are scheduled
in accordance with the Use of University Facilities policy,
i. The posting of ads and for sale notices in newspapers or
on bulletin boards designated for such purposes by the
appropriate University official, provided that such ads
and notices posted on bulletin boards conform to the
University Signs policy.
/ University recognized groups conducting fund raising
activities approved by the appropriate University
official,
k. other solicitation activities as approved by the
appropriate University official
2. No solicitation shall be conducted on the groups, sidewalks, and streets of the campus
except by: ^
a. a University agent; or
b. a University group.
3. Solicitation conducted on the campus must not:
a. disturb or interfere with the regular academic or
institutional programs of the University.
b. interfere with the free and unimpeded flow of
pedestrian and vehicular traffic on the sidewalks and
streets and at places of entry and exit to University
buildings; or
c. harass or intimidate the person or persons being solicited.
4. If an individual or group violates the provisions of this policy, the appropriate
University official, with the approval of the vice president to whom he/she reports, may
prohibit the offender from engaging in any solicitation on the University campus for a'
Index D-33
Page 3 of 4
specified period of time not to exceed one (1) year. In the case of a repeated violation of
these rules, the following sanctions shall apply:
a. the appropriate University official with the approval of
the vice president to whom he/she reports, may suspend
| or cancel the registration recognition-status of an offending student
organization.
b. the appropriate University official, with the approval of
the vice president to whom he/she reports, may suspend
the use of University facilities by an offender in
accordance with the Penalty and Hearing section of the
Use of University Facilities policy;
c. the University may prosecute an offender for trespass in
accordance with Chapter 51 of the Texas Education Code.
| Financial Policies of Student Or^aniyatinns
1. The Vice President for University Affairs may request a financial statement of any
student organization at any time. The requirements of the financial statement shall be
established by the Vice President for University Affairs.
2. Any registered student organization failing to comply with the provisions of this section
may be subjected to sanctions provided by the Time, Place, and Manner Regulations
section. °
Additional Rules
In addition to these rules, solicitation conducted in:
a. residence halls must comply with the rules governing
residence halls;
b. the University Center must comply with the rules
governing the University Center; and
c. academic buildings must comply with the rules governing
academic buildings.
Religious Groups
1. Solicitation of donations and contributions incidental to the main objective of preaching
and propagating the doctrines of religion may be conducted in the Free Expression Area of
the University between the hours of 8:00 a.m. and 7:00p.m., Monday - Friday.
2. Solicitations of donations and contributions by a religious group must comply with the
Time, Place and Manner Regulations section.
3. The sale or offer of sale of any property or service, whether for immediate or future
delivery, by a religious group must comply with the provisions of the Time, Place and
Manner Regulations section.
Index D-33
Page 4 of 4
Source of Authority: Texas Education Code Chapter 101; United States Constitution
Amendments I and XIV; President, Vice President for University Affairs
Cross Reference: Student Handbook and Activities Calendar Stephen F. Austin State
University Web Page
Contact for Revision: Dean of Student Development
Forms: None
Student Discipline Index D-34
Original Implementation: January 19, 1988 Page 1 of 9
RULES OF PROCEDURE IN STUDENT DISCIPLINARY MATTERS
Introduction
The following Rules of Procedure in Student Disciplinary Matters are adopted to
ensure that the University will fulfill the requirements of procedural due process in
student disciplinary proceedings, that the Stephen F. Austin State University Code of
Student Conduct and Residence Hall Rules and Regulations may be secured to all
students and that the disciplinary procedures within Stephen F. Austin State University
shall be definite and determinable.
These Rules of Procedure shall be followed in any disciplinary proceeding
commenced after the beginning of the Fall spring semester, 199788, subject to the
authority of the Board of Regents and the authority delegated to the President of the
University to exercise jurisdiction over disciplinary matters of the University.
Definitions
As used in these rules, the following definitions shall apply:
Appeal: The exercise of the right of review by the charged student or the individual
designated as the appellate authority Vice President for University Affaire of the full
record of a disciplinary hearing tho Student Conduct Committee and the sanction
imposed by a the hearing officer or board. Dean of Student Development.
Vice President for University Affairs: As used in these procedures, the Vice
President for University Affairs is charged with the primary responsibility for the
administration of these disciplinary- procedures and procedures is the appellate
authority for conduct code violations, and rofors to tho individual cpooifioally
designated to act for tho Vice President. The Vice President may appoint designees to
administer disciplinary procedures in addition to or in the absence of the Dean or
Associate Dean of Student Development.
Dean of Student Development: As used in these procedures, the Dean of
Student Development is charged, as a designee of the Vice President, with the daily
responsibility for the administration of these disciplinary procedures. Specifically, the
Dean conducts informal hearings for alleged conduct code violations, has appellate
authority over residence hall violation appeals, and reviews final hearing outcomes
and sanctions of the Student Conduct Committee.
Associate Dean of Student Development: As used in these procedures, the
Associate Dean of Student Development is charged, as a designee of the Vice
President, with the daily responsibility for the administration of these disciplinary
procedures. Specifically, the Associate Dean of Student Development conducts
informal hearings for alleged conduct code violations, serves as appeal officer to
residence hall violations, reviews Judicial Board hearings outcomes and sanctions,
and presents the University's case in formal hearings before the Student Conduct
Committee.
Student: A person having once been admitted to the University who has not
completed a chosen course of study and who intends to or does continue that course
of study at the University. For the purposes of these rules, student status continues
whether the University's academic programs are in session or not.
Student Conduct Committee: As used in these procedures, Student Conduct
Committee is that body which is authorized to conduct hearings and to make
recommendations of dispositions under these procedures. The Committee shall be
composed of one (1) faculty/staff member, one (1) student and one (1) faculty/staff
Chair. The Chair, appointed by the President of the University, shall hold the position
on a permanent basis and shall preside at all disciplinary hearings of the Committee.
The Chair shall select the faculty/staff member of the Committee from a pool of five (5)
faculty/staff appointed by the President of the University and the student member of the
Committee from a pool of five (5) students appointed by the President of the Student
Government Association. Each Committee member shall have a vote. The charged
student has the right to challenge and strike one member of the Committee who will be
replaced by the Chair from the remaining members of the pool.
Hall Director: The individual charged with the administration of a specific residence
hall who will initiate the proceedings to be followed when a residence hall infraction
has occurred.
Judicial Board: The panel which is authorized to conduct hearings and to make
recommendations for dispositions regarding residence hall infractions committed by
residence hall occupants. The Board shall be composed of three (3) fivo (5)
residence hall students who are elected at large by residence hall students, «nd two
(2) Resident Assistants who are elected by the residence hall students, one (1) Hall
Director advisor and one (1) Assistant Hall Director chairperson who are appointed by
the Coordinator of Residence Life, two (2) Hall Diroctors who aro appointod by tho
Director of Rocidonoo Lifo.
Penalties
Admonition is a warning.
Conduct Probation is for a specified period of time and requires that a second
offense will result in disciplinary probation or suspension.
Disciplinary Probation is for a specified period of time and may carry with it other
conditions to be met (e.g. restriction of participation in extracurricular activities,
holding student office, pledging or joining campus organizations).
Special Action is a sanction designed to enhance the educational intent of the
disciplinary process, a recommondation from tho Hoaring Officor to anothor Univorcity
official that tho chargod studont bo roctriotod from Gomo oorvioo or privilogo Examples
of sanctions include (e^-rernoval from University Housing, payment of damages,
extracurricular activity restrictions^, community service, educational sanctions,
counseling referrals.
Suspension is a bar from attending the University for a specific period of time and
carries with it the following conditions:
1. The charged student must remain off the campus during the period of
suspension, except when summoned by an administrator of the University or when an
appointment with an official has been arranged in advance.
2. A student under suspension may not live or board in University facilities.
Expulsion is a permanent bar from attending the University. Disciplinary expulsion
will be noted on the student's academic transcript
Debarment is equivalent to suspension from the University applied to persons not
currently registered at the time the penalty is imposed.
Procedures (Residence Hall Regulation Violations)
1. The Hall Director shall receive the report of any alleged infraction of Residence
Hall Rules and Regulations and the Code of Student Conduct that occurs in a
residence hall. Infractions that constitute Code of Student Conduct violations shall
be forwarded to the Dean of Student Development-Office,
In the event of multiple infractions involving both Residence Hall Rules and
Regulations and the Code of Student Conduct, the higher level infraction(Code of
Student Conduct) shall take precedence. In all other cases, the Hall Director shall
notify, in writing, the charged student of a hearing to adjudicate the misconduct.
The Hall hearing shall be held within five (5) working days of the infraction.
2. At the initial meeting with the charged student, the Hall Director will provide the
charged student a copy of the incident report relative to the case which will include
the names(s) of the individual(s) making the charge and potential witnesses. The
charged student will also be presented with the option of having the Hall Director
informally resolve the incident or having the case heard before the Residence Hall
Judicial Board. The Hall Director shall also have the right to refer the case to the
Residence Hall Judicial Board.
Informal Disposition(Residence Hall Regulations)
3. If the charged student selects an informal hearing, the incident report shall serve as
evidence of the of the infraction. The Hall Director shall serve as the official
initiating the charge of misconduct. In the event the charged student does not
appear for the initial hearing with the Hall Director, the charged student shall be
notified again of a new hearing. Should the charged student fail again to appear
for the newly scheduled hearing, the Hall Director shall refer the case to the Dean
of Student Development for violation of the Code of Student Conduct for failure to
follow the directions of a University official.
Formal Disposition(Residence Hall Regulations)
4. If the charged student elects to have the case heard before the Judicial Board, the
Chair of the Judicial Board shall notify the charged student of the hearing date to
be scheduled within ten (10) working days of the election. The proceedings of the
Judicial Board are not to be conducted as judicial trials, but care shall be taken to
comply with the intent of the procedural safeguards provided by these rules.
Judicial Board hearings are closed.
5. The Judicial Board Chair shall provide written notice of the hearing by personal
delivery of the notice through the management system of the residence hall. The
written notice shall set forth the date, time, and place of the alleged infraction, the
conduct in question, and the date, time and place of the hearing before the Judicial
Board. The charged student shall also be informed that an advisor may
accompany the charged student to the hearing. If the charged student fails to
appear at the scheduled time, the charged student shall be notified of a new
hearing date. Should the charged student fail to appear for the newly-scheduled
hearing, the case shall be referred to the Dean of Student Development for
violation of the Code of Student Conduct for failure to follow the directions of a
University offici

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Transcript

Stephen F. Austin
State University
Minutes of the
Board of Regents
Houston, Texas
January 20,1998 (as amended)
Volume 154
TABLE OF CONTENTS
Page
97-104 Approval of October 14, 1997 Minutes 1
97-105 Faculty and Staff Appointments for 1997-98 1
97-106 Changes of Status 2
97-107 Retirements 3
97-108 Voluntary Modification of Employment... 3
97-109 Underenrolled Class Report for Spring 1998 3
97-110 Twelfth Class Day Report 3
97-111 Last Class Day Report, Fall 1997 3
97-112 Faculty Workload Report 4
97-113 Renovation of Miller Science Building- Architectural and Construction
Management Services -...4
97-114 Renovation of Tucker House and Furniture 4
97-115 Renovation of Homer Bryce Stadium 4
97-116 Renovation of Alumni Building 4
97-117 Naming of the Alumni Center 4
97-118 Renovation of Austin Building Second Floor 4
97-119 Resolution for Condemnation of Property , 5
97-120 Resolution to Reimburse Expenditures with Proceeds of Future Debt 5
97-121 Vehicle Replacements 5
97-122 College of Fine Arts Furniture and Equipment 5
97-123 Resolution to Review Qualified Investment Brokers 6
97-124 Resolution to Acknowledge Review of Investment Policy and Strategy... 6
97-125 Investment Policy Revisions 6
97-126 Policy Revisions : 6
Reports 6
A. Chair, Faculty Senate
B. President, Student Government Association
C. Vice President for University Advancement
D. President
Appendix No. 1 - Tucker House Renovations
Appendix No. 2 - Resolution for Acquisition/Condemnation
Appendix No. 3 - Resolution Declaring Expectation to Reimburse Expenditures
with Proceeds of Future Debt
Appendix No. 4 - Resolution Approving Financial Institutions and Brokers for
Investment Transactions
Appendix No. 5 - Resolution to Acknowledge Review of Investment Policy
and Strategy
Appendix No. 6 - Investment Policy Revision
Appendix No. 7 - Policies for Board Review
MINUTES OF THE MEETING
BOARD OF REGENTS
STEPHEN F. AUSTIN STATE UNIVERSITY
HOUSTON, TEXAS
JANUARY 20, 1998
The meeting was called to order at 9:12 a.m. by Chair Murray Shaw. Board members
present at The Houstonian Hotel: Ron Adkison, R. A. Brookshire, Mike Enoch, Pattye
Greer, Lynn Montes, Jimmy Murphy, Murray Shaw and Susan Roberds. Absent:
Penny Butler.
Meeting went into Executive Session at 9:13 a.m., and returned to Open Session at 9:35
a.m.
97-104
Upon motion of Regent Murphy, seconded by Regent Adkison, with all members voting
aye, it was ordered that the minutes of October 14, 1997, be approved as presented.
97-105
Upon motion of Regent Adkison, seconded by Regent Enoch, with all members voting aye, it
was ordered that the following appointments be approved.
1. History
Dr. Raymond Hall, Visiting Professor of Diversity, at a salary of $55,000 for
100% time for four and one-half months, effective fall semester, 1998.
2. Human Sciences
Dr. Brenda G. Marques, Assistant Professor, (Ph.D., University of Georgia), at
a salary of $36,000 for 100% time for nine months, effective spring semester,
1998.
3. Secondary Education & Educational Administration
Mr. David R. McDonald, Instructor, (M.Ed., Stephen F. Austin State
University), at a salary of $34,959 for 100% time for nine months, effective fall
semester, 1997.
4. Instructional Technology
Ms. Kimberly Holub, Course Administrator, B.S. (Texas A&M University), at a
contract salary of $13,698 for 100% time for nine months, fall semester, 1997
through May 31, 1998.
5. University Affairs
Mr. John A. Pearce, Head Football Coach, at a salary of $84,127 for twelve
months, effective February 1, 1998 through January 31, 1999.
Mr. Eddie Blister, Assistant Coach and Instructor of Kinesiology, at a salary of
$52,285 for 10.5 months, effective February 1, 1998.
Mr. Eugene Chizik, Jr., Assistant Coach and Instructor of Kinesiology, at a
salary of $52,285 for 10.5 months, effective February 1, 1998
Mr. Denzil Cox, Assistant Coach and Instructor of Kinesiology, at a salary of
$46,875 for 10.5 months, effective February 1, 1998.
Mr. Charles Davis, Assistant Coach and Instructor of Kinesiology, at a salary of
$38,192 for 10.5 months, effective February 1, 1998.
Mr. Robert McFarland, Assistant Coach and Instructor of Kinesiology, at a
salary of $46,025 for 10.5 months, effective February 1, 1998
Mr. Arlington Nunn, Assistant Coach and Instructor of Kinesiology, at a salary
of $41,071 for 10.5 months, effective February 1, 1998.
Ms. Debra Warren, Student Employment Officer, at a salary of $19,400 for
twelve months, effective October 23, 1997.
Ms. Stephanie King, Coordinator of Computer Based Testing, at a salary of
$15,000 for twelve months, contingent upon external funding, effective October
22, 1997.
James K. Dowling, MD., Physician, at a salary of $63,880 for 10.5 months,
effective January 19, 1998.
97-106
Upon motion of Regent Adkison, seconded by Regent Montes, with all members voting aye, it
was ordered that the following changes of status be approved.
1. Secondary Education & Educational Administration
Dr. Sharon Spall, from Visiting Assistant Professor at a salary of $36,374 for 100%
time for nine months, to Assistant Professor at a salary of $36,374 for 100% time for
nine months.
Dr. Robert S. Estabrook, from Chair and Professor at a salary of $81,000 for 100% time
for twelve months, to Professor at a salary of $78,000 for 100% time for twelve months.
Dr. Patrick M. Jenlink, from Professor at a salary of $78,000 for 100% time for twelve
months, to Chair and Professor at a salary of $81,000 for 100% time for twelve months.
2. University Affairs
Ms. Ashley Watson, from Hall Director III at a salary of $13,403 for nine
months, to Coordinator of Residence Life at a salary of $26,250 for twelve
months, effective October 27, 1997.
97-107
Upon motion of Regent Murphy, seconded by Regent Adkison, with all members voting aye, it
was ordered that the following retirements be accepted.
1. Chemistry
Mr. Charles R. Cates, Assistant Professor, effective July 9, 1998.
2. Elementary Education
Dr. John T. Thornton, Professor, effective December 31, 1997.
3. English and Philosophy
Dr. Hebe R. Mace, Associate Professor, effective December 31, 1997.
4. Forestry
Dr. Gerald L. Lowry, Professor, effective June 1, 1998.
97-108
Upon motion of Regent Adkison, seconded by Regent Enoch, with all members voting aye, it
was ordered that the following request for retirement and subsequent modification of
employment be approved:
Dr. Douglas McMillan, History, effective September 1, 1998.
95-109
Upon motion of Regent Murphy, seconded by Regent Adkison, with all members voting aye, it
was ordered that the Chairman of the Board be authorized to sign the Underenrolled Class
Report for spring, 1998 when the data is available.
97-110
Upon motion of Regent Murphy, seconded by Regent Adkison, with all members voting aye, it
was ordered that the Chairman of the Board be authorized to approve the Twelfth Class Day
Report for the spring semester, 1998.
97-111
Upon motion of Regent Murphy, seconded by Regent Adkison, with all members voting aye, it
was ordered that the Last Class Day Report for the fall semester, 1997, be approved as
presented.
97-112
Upon motion of Regent Murphy, seconded by Regent Adkison, with all members voting
aye, it was ordered that the faculty workload report for the fall semester, 1997 be
approved as submitted at the meeting.
97-113
Upon motion of Regent Murphy, seconded by Regent Roberds, with all members voting
aye, it was ordered that the President be authorized to seek Coordinating Board
approval for renovation of Miller Science Building, to hire a project architect, to hire a
project construction manager, and to bring project plans and a budget to the April, 1998
Board of Regents meeting for approval. The estimated budget for the project is
$7,000,000. Funds will be provided by tuition revenue bonds ($6,000,000) and the
HEAF allocation ($1,000,000).
97-114
Upon motion of Regent Greer, seconded by Regent Murphy, with all members voting
aye, it was ordered that the President be authorized to sign the required purchase orders
to complete the renovation of the Tucker House, as presented in Appendix No. 1.
Source of funds: Mclntire-Stennis grant, Center for Applied Studies in Forestry and
Rockwell earnings.
97-115 - Corrected 4-21-98
Upon motion of Regent Montes, seconded by Regent Murphy, with all members voting
aye, it was ordered that the President be authorized to obtain bids for the renovation of
the artificial turf, track, lights and sound system in Homer Bryce Stadium, and to
amend the 1997-98 Budget by the amount necessary to fund the project, however, such
amount is not to exceed the amount approved by the Coordinating Board by more than
10%. Source of the funds for the budget amendment is the auxiliary fund balance. It
was further ordered that the Chairman and Vice Chairman of the Board of Regents be
authorized to review and approve the bids for the renovation of the artificial turf and
track so that such renovation may be completed as soon as possible, and that the
Executive Committee of the Board of Regents be authorized to review and approve the
bids for the renovation of the lights and sound system.
97-116
Upon motion of Regent Adkison, seconded by Regent Enoch, with all members voting
aye, it was ordered that the University be authorized to renovate and expand the
Alumni Building, and that the President be authorized to sign all contracts necessary for
its completion, subject to a maximum budget of $590,700 fully funded by private
contributions, and that the Board consider the appropriate naming of the building.
97-117
Upon motion of Regent Brookshire, seconded by Regent Adkison, with all members
voting aye, it was ordered that the Alumni Building be named the Tracy D. Pearman,
Jr. Alumni Center at Stephen F. Austin State University.
97-118
Upon motion of Regent Murphy, seconded by Regent Enoch, with all members voting
aye, it was ordered that the President be authorized to sign all necessary contracts and
purchase orders to complete the renovation of the second floor of the Austin Building
The source of funding is HEAF, not to exceed $510,000.
97-119
Upon motion of Regent Adkison seconded by Regent Monies, with all members voting
aye, it was ordered that the Resolution for Acquisition/Condemnation of Lot 10 of the I
L. Sturdevant Subdivision and Lot 10-C, Block 45 of the City of Nacogdoches be
approved as shown in Appendix No. 2.
97-120
Upon motion of Regent Murphy, seconded by Regent Monies, with all members voting
aye, it was ordered that the Resolution to Reimburse Expenditures with Proceeds of
Future Debt be adopted as presented in Appendix No. 3.
97-121
Upon motion of Regent Enoch, seconded by Regent Monies, with all members voting
aye, it was ordered that the University be authorized to replace physical plant rental
fleet vehicles according to the schedule shown below, and that the President be
authorized to sign the purchase orders upon completion of bidding procedures The
source of funding is FY '98 HEAF, not to exceed $196,000. It was further ordered the
University be authorized to replace athletic department and rental vehicles through the
municipal lease available from Tipton Ford Company and that the President be
authorized to sign the required purchase orders and contracts. The source of funding
for the Athletics and Physical Plant rental fleet vehicles is auxiliary and education and
general funds.
Two categories of vehicles are approved for replacement. The first category includes
vehicles assigned to the physical plant department. The annual physical plant HEAF
allocation for FY '98 included funding of $196,000 for vehicle replacements The
allocation is scheduled as follows:
Shuttle bus $70,000
Vans, 15 passenger (2) 42,000
Van, 7 passenger 16,000
Pickup trucks (4) 68.000
Total $196,000
The second category includes six vehicles for the athletic department and four vehicles
tor the rental fleet, with funding from auxiliary and education and general funds.
Department Net Annual Cnst
Athletics $26,047
Physical Plant Rental Fleet 17.365
Total $43,412
97-122
Upon motion of Regent Murphy, seconded by Regent Monies, with all members voting
aye, it was ordered that the University be authorized to proceed with acquisition of the
concert piano and furniture for faculty offices, administrative offices, lounges and
public spaces in the renovated Music Building, and that the President be authorized to
sign purchase orders for the items upon completion of the bidding procedures. The
source of funding is FY 98 HEAF, not to exceed $165,000.
97-123
Upon motion of Regent Enoch, seconded by Regent Montes, with all members voting
aye, it was ordered that the Resolution Approving the Financial Institutions and Brokers
for Investment Transactions be approved as submitted in Appendix No. 4.
97-124
Upon motion of Regent Murphy, seconded by Regent Montes, with all members voting
aye, it was ordered that the Resolution to Acknowledge Review of the Investment
Policy and Strategy be ratified as presented in Appendix No. 5.
97-125
Upon motion of Regent Murphy, seconded by Regent Montes, with all members voting
aye, it was ordered that the operating funds investment policy be amended as shown in
Appendix No. 6 to add the two items required by the Texas Public Funds Investment
Act: First, that the policy must include the method used to monitor the market price of
acquired investments. Second, that the policy must include a statement that investment
transactions, with the exception of mutual funds and investment pools, be settled on a
delivery versus payment basis
97-126
Upon motion of Regent Murphy, seconded by Regent Enoch, with all members voting
aye, it was ordered that the Board of Regents adopt the proposed policy revisions, as
presented in Appendix No. 7.
REPORTS
A. Faculty Senate President, Darrel McDonald
B. Student Government Association President, Robyn Brown
C. Vice President for University Advancement, Jerry Holbert
D. President
Nominating Committee was named: Chair Jimmy Murphy, Mike Enoch, Penny Butler,
to report at the April meeting.
Future meeting dates: April 20-21, July 13-14.
Meeting adjourned at 10:58 a.m.
TUCKER HOUSE RENOVATIONS
Appendix No. 1
Costs as of December 31,1997
Design Consultation
Renovation Work (wallpaper, painting,
wainscoting, shelving, shutters)
Lighting
Phone and Internet Cable
Electrical Wiring
Draperies
Costs Breakdown
Center for Applied Studies
Rockwell Earnings
TOTAL
$18,339
21,478
$2,175
32,220
868
651
2,401
1502
$39^17
ANTICIPATED COSTS TO COMPLETE RENOVATIONS
Renovation Work (two additional rooms —
painting, wallpaper, floor covering)
Furnishings (workstation & office dividers,
bookcases, file cabinets, furniture, conference
table)
Draperies
Hardwood Floors Refinishing
Lighting
Exterior Work (front sidewalk, replacement of
rotted soffits and fascias) (Estimate)
$15,235
34,400
4,873
5,069
4,484
10,000
TOTAL $74,061
Appendix No. 2
BOARD OF REGENTS
STEPHEN F. AUSTIN STATE UNIVERSITY
Resolution for Acquisition / Condemnation
Lot 10 of the I. L. Sturdevant Subdivision and
Lot 10-C, Block 45 of the City of Nacogdoches
WHEREAS, Stephen F. Austin State University (the "University") has determined that it is
necessary to acquire, through condemnation proceedings if necessary, Lot 10 of the I. L. Sturdevant
Subdivision and Lot 10-C, Block 45 of the City of Nacogdoches; and
WHEREAS, the University owns all property on both sides of the block; and
WHEREAS, the University's 1985 long range plan showed need for acquisition of all
property on this block, with these stated lots being the only parcel of unacquired property in this area
under the University's long range plan; and
WHEREAS, these lots are jointly owned by a large number of individuals who inherited the
property and have not been fully responsive to the University's efforts to purchase the lots; and
WHEREAS, the University needs this property for the physical expansion of campus,
including building, construction of parking, or other needs; and
WHEREAS, the University has received Legislative approval for the acquisition of this
property.
NOW, THEREFORE, IT IS ORDERED that the acquisition of Lot 10 of the I. L.
Sturdevant Subdivision and Lot 10-C, Block 45 of the City of Nacogdoches as described in the
attached survey be acquired by the University, through condemnation proceedings if necessary. It is
determined that the acquisition is needed for the physical expansion of campus as articulated in the
1985 long range plan, which may include building, construction of parking, or other appropriate
campus needs. The University's Board of Regents hereby authorizes the President to take all steps
necessary to acquire the property, to execute all documents, instruments, and other agreements, to
initiate condemnation action through the Office of the Attorney General if necessary and take all such
actions as deemed necessary to carry out the purpose and intent of these transactions.
Signed by the Secretary of the Board of Regents confirming the adoption of this Resolution at its'
January 20, 1998 meeting in Houston, Texas.
A. £
R. A. Brookshire
Secretary, SF A Board of Regents
Date: ^ ^ ^&y^- ?$
SURVEYED FOR
STEPHEN F. AUSTIN STATE UNIVERSITY
All that certain tract or parcel of land lying and being situate in the
City of Nacogdoches, Nacogdoches County, Texas and being LOT 10 of the I L
STURDEVANT SUBDIVISION, (114/279, DRNCT) and LOT 10-C, BLOCK 45 of said City
as described in a conveyance from Carolyn Strudevant Miller, et vir, to Arthur
Marshall, dated November 13, 1962, recorded in Volume 309, Page 208 of the
Deed Records Nacogdoches County, Texas and more particularly described as follows:
BEGINNING at an iron axle found for corner in the South margin of Carolyn
Avenue, said beginning corner being the NWC of said Marshall lot and the NEC
of Lot 9 of said subdivision as described in a conveyance from Roger Van Horn
to Stephen F. Austin State University, dated December 12, 1986, recorded in
Volume 649, Page 787 of the Deed Records Nacogdoches County, Texas;
THENCE with the South margin of Carolyn Avenue and the NBL of said Marshall
lot as follows:
S 89°12'56" E, 137.59 feet to a 1/2" iron rod set for corner;
Southeasterly, 16.33 feet, a curve to the right having a central
^ angle of 89°1515311, a radius-of 10.48 feet and a chord of
s 44°35'00" E, 14.73 feet to a 1/2" iron rod set for corner in
the West margin of Baker Street, said corner being in the
Easternmost EBL of said Marshall lot;
THENCE S 00°02'58" W, 44.48 feet with the West margin of Baker Street and
the Easternmost EBL of said Marshall lot to its Easternmost SEC, an iron axle
found for corner;
THENCE N 89-21'02" W, 82.90 feet with the Northernmost SBL of said Marshall
lot to an iron axle found at a reentrant corner of same;
THENCE S 00°28'30" W, 61.92 feet with the Westernmost EBL of said Marshall
lot to an iron axle found at its Southernmost SEC;
THENCE N 89° 14• 54" W, 66.96 feet with the Southernmost SBL of said Marshall
lot to its SWC, an iron axle found for corner at the SEC of said Lot 9;
THENCE N 01-13-19" E, 116.97 feet with the WBL of said Marshall lot and
the EBL of said Lot 9 to the place of BEGINNING.
I, Tommy Findeisen, a duly Registered Public Surveyor for the State of
Texas hereby certify that the above field notes of the property surveyed for
T^ T; AUSTIN STATE 1JNIVERSITY bs^S LOT 10 of the I.L° STORDEVAN^ SUBDIVISION
and LOT 10-C, BLOCK 45 of the City of Nacogdoches, are true and correct, there
are no visible easements or encroachments from adjoining owners (other than
herein described) and the same was surveyed by me on the ground the 19th day
of June, 1987. USE OF THIS SURVEY FOR ANY OTHER PURPOSE OR BY OTHER PARTIES
SHALL BE AT THEIR RISK AND THE UNDERSIGNED IS NOT RESPONSIBLE TO OTHERS FOR
ANY LOSS RESULTING THEREFROM.
[red* Public Surveyor No. 1915 * < tommy findeisen >
BOC —
CAROLYN
AVENUE
A = 89OI5'53"
R = 10.48*
Ch= S44°35l00"E .14.73'
SURVEYED FOR
STEPHEN F. AUSTIN STATE UNIVERSITY ' '
LOT 10, I.L. STRUDEVANT SUBDIVISION
LOT 10-C, BLOCK AS
NACOGDOCHES, TEXAS
SCALE 1" = 20• JUNE 19, 1987
I, Tommy Findeisen, a duly Registered Public Surveyor for the State of Texas
S^Fim^WPQ^f.^T^0^ Piat °f the ProPertv surveyed for STEPHEN F. AUSTIN
STATE UNIVERSITY being LOT 10 of the I.L. STRUDEVANT SUBDIVISION and LOT 10-C BLOCK
45 of the City of Nacogdoches, is true and correct, there are no visible easements
or encroachments from adjoining owners (other than shown) and the same was surveyed
??n VnZn ^Ll9th *** °f 3m*> 1987- USE 0F ralS SURVEY F0R ANY OTHER
S?2S5 0THER PARTIES SHALL BE AT THEIR RISK AND THE UNDERSIGNED IS NOT
TO OTHERS FOR ANY LOSS RESULTING THEREFROM. a
Axle fd.
Axle fd.
Registered Public Surveyor No. 1915
>.»
« JOM.MY FINDEISfcN »
Appendix No. 3
BOARD OF REGENTS
OF
STEPHEN R AUSTIN STATE UNIVERSITY
Nacogdoches, Texas
RESOLUTION DECLARING EXPECTATION TO REIMBURSE
EXPENDITURES WITH PROCEEDS OF FUTURE DEBT
WHEREAS, Stephen F. Austin State University (the "University") intends to make a
capital expenditure of approximately $7,000,000 for improvements to the E, L. Miller Science
Building on its campus in Nacogdoches, Texas (the "Project"), which is to be funded in part with
proceeds of bonds to be issued by the Texas Public Finance Authority (the "Authority") as
authorized by House Bill 1077, Acts of the 75th Legislature, Regular Session (1997); and
WHEREAS, the University intends to expend an amount not to exceed $527,425 (the
"Expenditure") for Project development costs consisting of professional planning, design, and
engineering fees, and currently desires and intends the Expenditure to be reimbursed from
proceeds of bonds to be issued by the Authority for the Project; and
WHEREAS, under Treas. Reg- Section U03-19 (the "Regulation"), to fund such
reimbursement with proceeds of tax-exempt obligations, the University must declare its
expectation of such reimbursement before making the Expenditure; and
WHEREAS, the University and the Authority desire to preserve the ability to reimburse
the Expenditure with proceeds of tax-exempt obligations;
NOW THEREFORE THE UNIVERSITY HEREBY RESOLVES that it reasonably
expects to reimburse the Expenditure with the proceeds of the bonds to be issued hereafter by the
Authority, and this Resolution shall constitute a declaration of official intent under the Regulation.
BE IT FURTHER RESOLVED that a copy of this resolution be spread upon the
minutes of the January 20,1998 meeting of the Board
This Resolution will be made available for public inspection at the office of the
Commission at 1711 San Jacinto, Austin, Texas, and at the main office of the University at 1936
North Street, Austin Building, Office 315, Nacogdoches, Texas,
THE BOARD OF REGENTS, STEPHEN F, AUSTIN STATE UNIVERSITY
Attest: /I-R.
A. Brookshire, Secretary
January 20,1998
Appendix No. 4
BOARD OF REGENTS
OF
STEPHEN F. AUSTIN STATE UNIVERSITY
Nacogdochcs, Texas
RESOLUTION APPROVING
FINANCIAL INSTITUTIONS AND BROKERS
FOR INVESTMENT TRANSACTIONS
WHEREAS, The Texas Public Funds Investment Act requires the University to submit a
resolution approving a list of qualified investment brokers to the governing body of the institution
for adoption and/or review; and
WHEREAS, the following firms are approved investment brokers:
Merrill Lynch Inc.
Smith Barney Inc.
Southwest Securities Inc.
Prudential Securities Inc.
Commercial Bank of Texas
Stone Fort National Bank
Fayez Sarofim Inc.
Citizen's First Bank
Fredonia State Bank
NOW THEREFORE BE IT RESOLVED that the Stephen R Austin State University
Board of Regents, by the issuance of this Resolution, do hereby approve the above listed finns for
investment transactions by Stephen F. Austin State University; and
BE IT FURTHER RESOLVED that a copy of this resolution be spread upon the
minutes of the January 20,1998 meeting of the BoaixL
THE BOARD OF REGENTS, STEPHEN F. AUSTIN STATE UNIVERSITY
Attest:
R. A. Brookshire, Secretary
January 20,1998
Appendix No. 5
BOARD OF REGENTS
OF
STEPHEN F. AUSTIN STATE UNIVERSITY
Nacogdoches, Texas
RESOLUTION TO ACKNOWLEDGE
REVIEW OF INVESTMENT POLICY AND STRATEGY
WHEREAS, The Texas Public Funds Investment Act requires that University's
investment policy and strategy must be annually reviewed by the governing board of the
institution; and
WHEREAS, the law also requires the governing body to adopt a written instrument
stating that it has reviewed the investment policy and strategy; and
NOW THEREFORE BE IT RESOLVED that the Stephen F. Austin State University
Board of Regents, by the issuance of this Resolution, does hereby approve the investment policy
and strategy as reviewed on January 20,1998; and
BE IT FURTHER RESOLVED that a copy of this resolution be spread upon the
minutes of the January 20,1998 meeting of the Board.
THE BOARD OF REGENTS, STEPHEN F. AUSTIN STATE UNIVERSITY
Attest:
R. A. Brookshire, Secretary
January 20,1998
Appendix No. 6
Investments Index C-41
Original Implementation: April 30,1996
Last Revision: July 15 January 20,1997-8
Policy Statement
Stephen F. Austin State University invests the public funds in its custody with primary
emphasis on the preservation and safety of the principal amount of the investment.
Secondarily, investments must be of sufficient liquidity to meet the day to day cash
requirements of the University. Finally, the University invests to maximize yield within the
two previously-indicated standards. All investments within this policy conform to all
applicable State statutes and local rules governing the investment of public funds. This
policy is promulgated in accord with the Public Funds Investment Act (Government Code,
Chapter 2256), related portions of the Texas Education Code, and the applicable portions of
H. B. 2459,74th Texas Legislature.
This policy establishes rules for the investment of all University and agency funds except
endowment funds. Endowment funds are invested in accordance with separate policy
approved by the Board of Regents and are the responsibility of fund managers selected by the
Board of Regents.
Objectives
The foremost objective of all investment decisions shall be safety of principal. All
investments must be undertaken with the fiduciary responsibility associated with that of a
reasonable and prudent person. Investments must be in accord with Texas law. Investment
maturity must be diversified to match the University's liquidity requirements.
Investments shall incur no unreasonable risk in order to maximize potential income.
Investments shall remain sufficiently liquid to meet all reasonably anticipated operating
requirements.
Investments shall be diversified in order to minimize any risk inherent in the purchase of
multiple securities of the same type or within the same financial institution.
No investments within the portfolio or investment practices conducted to effect investment
activities shall violate the terms of this policy.
N) Assets and/or funds reportable within the scope of the Universityfs annual
financial report may not be invested in or used to purchase securities,
including obligations, of a private corporation or other private business entity
that owns 10% or more of a corporation or business entity which records or
produces any song, lyrics or other musical work that explicitly describes,
glamorizes or advocates:
(1) acts of criminal violence, including murder, assault, assault on police
officers, sexual assault, and robbery;
(2) necrophilia, bestiality, or pedophilia;
(3) illegal use of controlled substance;
(4) criminal street gang activity;
(5) degradation or denigration of females; or
(6) violence against a particular sex, race, ethnic group, sexual
orientation, or religion.
Insurance Or Collateral
All deposits and investments of University funds other than direct purchase of United States
Treasury securities or United States Agency securities and in money market funds invested in
U. S. Treasury or Agency securities shall be secured by a pledge of collateral with a market
value equal to no less than 100% of the deposits or investments less any amount insured by
the FDIC or FSLIC and pursuant to Article 2529d, the Public Funds Collateral Act.
Evidence of the pledged collateral shall be maintained by the University Controller. Eligible
repurchase agreements shall be documented by a specific agreement noting the collateral
pledged in each agreement. Collateral shall be reviewed monthly to assure the market value
of the securities pledged equals or exceeds the related bank balances.
Pledged collateral shall be maintained for safekeeping by a third party depository.
Collateral Defined
The University shall accept only the following securities as collateral:
A) FDIC and FSLIC insurance coverage;
B) United States Treasury, Agency, or Instrumentality securities;
C) Other obligations, the principal of and interest on which are
unconditionally guaranteed or insured by the State of Texas or the United
States of America;
D) Maturity
The length of time for investments within this policy will vary according to
fund type and will be dependent on funding requirements. As a general rule,
funds will be invested for the time periods indicated:
Current Unrestricted and
Restricted Funds 2 days to one year
Plant Funds 3 months to 3 years
Delegation Of Authority
The Vice President for Business Affairs (VPBA) of Stephen F. Austin State University is
responsible for investment management decisions and activities. The VPBA delegates the
day-to-day management of the investment activities to the Director of Financial Services.
The VPBA shall be ultimately responsible for all transactions undertaken and shall establish
a system of controls (Appendix A) to regulate the activities of officials and staff involved in
investment transactions.
The VPBA shall develop and maintain written administrative procedures and guidelines for
the operation of the investment program which are consistent with and part of this Investment
Policy (Appendix B).
The VPBA shall be designated as the University's investment officer and is responsible for
the duties outlined herein. The name and title of the investment officer shall be filed with the
Board of Regents. Changes of name and/or title must be filed with the Board of Regents as
they occur.
Decisions requiring security purchases with stated maturity in excess of five (5) years will
require approval of the VPBA and ratification by the Board of Regents.
No officer or designee may engage in an investment transaction except as provided under
terms of this policy as approved by the Stephen F. Austin State University Board of Regents.
Prudence
The "prudent person" standard will be used in the investment function and shall be applied in
the context of individual transactions as well as management of the overall portfolio.
Accordingly, all investments shall be made with judgment and care, under circumstances
then prevailing, which persons of prudence, discretion, and intelligence exercise in the
management of their own affairs, not for speculation, but for investment, considering the
probable safety of their capital as well as the expected income to be derived.
Internal Controls
Stephen F. Austin State University has established a system of written internal controls
designed to prevent loss of public funds due to fraud, employee error, misrepresentation by
third parties, unanticipated market changes, or imprudent actions by employees of the
University. These controls are shown in Appendix A of this Investment Policy. These
controls are subject to the review of and recommendations from the University's Department
of Audit Services office.
Investment Authority
The VPBA shall invest only those funds regulated by this policy and shall purchase only
those securities authorized by the Authorized Investments section of this policy.
Authorized Financial Dealers And Institutions
Transactions (bids and offers) will require competitive bidding by at least three Board
authorized broker/dealers who have fulfilled all compliance requirements of the Board.
Exceptions to this rule require written justification and Board approval.
A written copy of the then current investment policy shall be presented to any individual
seekqffering to sell an authorizodengage in an investment ^transaction with Stephen F.
Austin State University. The registered pnncipalqualified representative of the business
organization se&mgoffering to seHengage in an authorized investment transaction with
Stephen F. Austin State University shall execute a written instrument substantially to the
effect that the registered ynncvpoXbusiness organization has (a) received and thoroughly
reviewed the investment policy of the University and (b) acknowledges that the business
organization has implemented reasonable procedures and controls in an effort to preclude
imprudent investment activities arising out of investment transactions conducted between the
University and the organization that are not authorized by Stephen R Austin State
University's investment policy..
Securities may not be bought from any organization whose representative has not provided
the University with the acknowledgment required in the above paragraph.
Diversification
Investments shall be diversified to minimize the risk of loss resulting from unauthorized
concentration of assets in a specific maturity, specific issuer, or specific class of securities.
The diversification limits by security type and issuer shall be:
(H) state the compliance of the investment portfolio of the University as it
relates to the relevant provisions of the Public Funds Investment Act.
Training
The VPBA and Director of Financial Services are required by Section 2256.007(a) of the
Government Code to attend at least one session of investment training not later than March 1,
1996, and, as appropriate, periodically thereafter.
Audits
The University's Department of Audit Services office shall conduct annual compliance audits
of management controls on investments and adherence to the University's investment policy
and report the results to the President and VPBA and the State Auditor's Office. In addition,
the Department of Audit Services shall annually review the quarterly investment reports, and
report the result of the review to the governing body.
Investment Policy Adoption And Certification
Upon adoption by the Stephen F. Austin State University Board of Regents, the University's
investment policy shall be reviewed annually to ensure current applicability and significant
modifications thereto submitted to the Board of Regents for approval.
Source of Authority: Board of Regents, Stephen F. Austin State University
Cross Reference: None
Contact for Revision: Vice President for Business Affairs
Forms: None
Category Maximum
U. S. Treasury securities and securities having
principal and interest guaranteed by the
U. S. Government 100%
U. S. Government agencies, instrumentalities
and government sponsored enterprises
(excluding mortgage backed securities) 50%
Mortgage backed securities 25%
Fully insured or collateralized certificates of deposit 30%
Bankers' acceptances 25%
Commercial paper 25%
Repurchase agreements 100%
Registered money market funds 80%
Local Government Investment Pool 100%
The VPBA and his or her designee shall diversify investment maturity. To the extent
possible, investment maturity will be matched with anticipated cash flow requirements.
Matching maturity and cash flow requirements will minimize occasions for sale of securities
prior to maturity, thereby reducing market risk. However, no provision of this policy shall be
interpreted as prohibiting the sale of any security prior to maturity, provided that it is in the
University's financial interest to effect the sale.
The weighted average maturity of the entire portfolio shall be maintainod at no moro than
five years and shall be reported in quarterly reports to the Board of Regents. Pooled fund
groups eligible for University investment shall have a mcucimum avorago dollar weighted
maturity of no moro than five years.
Safekeeping And Collateralization
All securities transactions, including collateral for repurchase agreements, but excluding
mutual funds and investment pools, must shall be conducted settled on a delivery versus
payment basis. All securities shall be held by a third party custodian in the name of the
University. The third party custodian shall be required to issue a safekeeping receipt to the
University listing the specific instrument, rate, maturity, safekeeping receipt number, and
other pertinent information. Any collateral safekeeping receipt shall be clearly marked on its
face that the security is "pledged to Stephen F. Austin State University".
Collateralization shall be required on certificates of deposit and repurchase agreements. The
collateralization level shall be no less than 100% of the market value of the principal and
interest due on these instruments.
Collateral for certificates of deposit and repurchase agreements shall consist of any of the
securities authorized for investment within this policy.
Performance Evaluation
The VPBA shall submit quarterly reports to the Board of Regents through its Finance
Committee and the President of the University in the format prescribed by the Public Funds
Investment Act, within a reasonable time after the end of the quarter.
The reports must:
(A) describe in detail the investment position of the University on the date of the
report;
(B) be prepared by the investment ofificer(s) of the University;
(C) be signed by the investment officer(s) of the University;
(D) contain a summary statement prepared in compliance with generally accepted
accounting principles of each pooled fund group that states the
(1) beginning market value for the reporting period;
(2) additions and changes to the market value during the period;-aa4
(3) @) ending market value for the period; and
(4) fully accrued interest for the reporting period;
(E) state the book value and market value of each separately invested asset at the
beginning and end of the reporting period by the type of asset and fund type
invested;
(F) state the maturity date of each separately invested asset that has a maturity
date;
(G) state the account or fund or pooled group fund for which each individual
investment was acquired; and
Authorized Investments
All University funds and funds held in trust for others may be invested only in the following
securities:
A) obligations of the United States of America, its agencies and
instrumentalities;
B) direct obligations of the State of Texas or its agencies and Instrumentalities;
C) collateralized mortgage obligations directly issued by a federal agency or
instrumentality of the United States of America, the underlying security for which
is guaranteed by an agency or instrumentality of the United States of America;
D) other obligations, the principal of and interest on, which are unconditionally
guaranteed or insured by, or backed by the full faith and credit of, the State of
Texas or the United States of America or their agencies and instrumentalities;
E) obligations of states, agencies, counties, cities, and other political subdivisions of any
state rated as to investment quality by a nationally recognized investment rating firm
of not less that A or its equivalent;
F) certificates of deposit issued by a state or national bank or savings and loan
association domiciled in Texas that is:
1) guaranteed or insured by the Federal Deposit Insurance Corporation;
2) folly collateralized by obligations described in Authorized Investments
section A-E listed above, including mortgage backed securities directly
issued by a federal agency or instrumentality that have a market value of not
less than the principal amount of the certificates, but excluding those
mortgage backed securities of the following nature:
a) obligations whose payment represents the coupon payments on the
outstanding principal balance of the underlying mortgaged-backed
security collateral and pays no principal;
b) obligations whose payment represents the principal stream of cash
flow from the underlying mortgage-backed security collateral and
bears no interest;
c) collateralized mortgage obligations that have a stated final maturity
date of greater than 10 years; and
d) collateralized mortgage obligations the interest rate of which is
determined by an index that adjusts opposite to the changes in a
market index.
G) fully collateralized repurchase agreements with a definite termination date,
secured by obligations described by Authorized Investments section F,
requiring the securities being purchased by the entity to be pledged to the
entity, held in the entity's name, and deposited at the time the investment is
made with the entity or with a third party selected and approved by the entity;
and placed through a primary government securities dealer, as defined by the
Federal Reserve, or a financial institution doing business in this state;
H) bankers acceptances having a stated maturity of 270 days or fewer from the
date of issuance, to be liquidated in full at maturity, eligible for collateral for
borrowing from a Federal Reserve bank, and accepted by a bank organized
and existing under the laws of the United States of America or any state, if the
short-term obligations of the bank, or of a bank holding company of which the
bank is the largest subsidiary, are rated not less than A-l or P-l or an
equivalent rating by at least one nationally recognized credit rating agency;
I) commercial paper that has a stated maturity of 270 days or fewer from the
date of its issuance, and is rated not less than A-l or P-l or an equivalent
rating by at least two nationally recognized credit rating agencies or one
nationally recognized credit rating agency and is fully secured by an
irrevocable letter of credit issued by a bank organized and existing under the
laws of the United States of America or any state;
J) no-load money market mutual funds regulated by the Securities and
Exchange Commission, having a dollar-weighted average stated maturity of
90 days or fewer, and including in their investment objectives the
maintenance of a stable net asset value of $1 for each share;
K) guaranteed investment contracts conforming to Section 2256.015 of the
Government Code;
L) investment pools conforming to Section 2256.016 of the Government
Code;
M) cash management and fixed income funds sponsored by organizations
exempt from federal income taxation under Section 501(f), Internal
Revenue Code of 1986 (26 U.S.C. Section 501(f));
APPENDIX A
INTERNAL CONTROLS
The University has prepared an Investment Policy as of April 12,1996. The policy was
approved by the Board of Regents April 30,1996.
The Investment Policy will be reviewed and/or updated no less than annually.
All pledged securities shall be held by a third party custodian in the name of the University.
A safekeeping receipt will be issued to the University listing the specific instrument, rate,
maturity, safekeeping receipt number, and other relevant information.
The signature of the President, VPBA, or Director of Financial Services is required for
release of pledged securities from safekeeping.
The Controller's Office will reconcile the appropriate investment accounts to broker's
statements and other supporting documents ™™iUiy jnvmtmmt Tiifaidfory lcdgor mil bo
roconcilod monthly to tho Financial Report, Gonoral Lodgor, Toimool ctatomonts, and otlmi
brokor/doalor ntatomontn. Thn rWrniWr nffi™ ,™n mnn^ jny^tmcnt incomo monthly.
Tho Controller will roviow tho ontrioo monthly.
All wire transfers, check transfers, or other bank items are transmitted to the bank by
someone other than the person preparing them.
All purchases of securities from and deposits of funds to or withdrawals of funds from
Texpool require the signature of the VPBA, and either the Director of Financial Services or
the Controller.
D) Obligations of states, agencies thereof, counties, cities, and other political
subdivisions of any state having been rated as to investment quality by a
nationally recognized investment rating firm and having received a rating of
no less than A or its equivalent.
Investment Strategy
All investments will be made in accordance with the University's Investment Policy.
Investments will be diversified among a variety of investment vehicles as specified in the
section on Diversification. Protection of the portfolio's principal is of primary concern;
however, it is recognized that unrealized losses will occur in a rising interest rate
environment, just as unrealized gains will occur during periods of falling interest rates.
Investments may be categorized and described as:
A) Short Term - less than 90 days
Funds needed to meet short term operating requirements normally will be
invested in either the Texpool investment vehicle managed by the State
Treasurer or overnight sweep accounts established with banking institutions.
This pool allows funds to be liquidated on a daily, if noooGsary, baois. IntoroGt
rates in Texpool change daily. The benchmark is the average three month
Treasury Bill "yield.
B) Intermediate Term - 90 days to one year
United States Treasury and Agency securities, United States Agency Discount
Notes, and Toxpool are the primary investment vehicles. United States
Agonoy Discount NotQGTreasury securities are preferable because of thez'r low
risk and the ease with which they are traded, and thoir return is comparable to
other United States Agency Securities and are usually higher in yield than
United States Treasury securities and Toxpool. Toxpool is preferred when
short term interest rates are low and there is no significant earnings advantage
to using other investment vehicles. The benchmark is 95 percent of the
average one-year Treasury Bill yield.
C) Long Term - over one year
United States Treasury and Agency securities are the primary investment
vehicles. Normally, investments are laddered so that most principal is
returned over a five year period in increments sufficient to meet anticipated
operating and capital needs. The Lehman Government/Corporate Bond Index
30 Year Treasury Bond rate is the benchmark for long term funds.
APPENDIX B
ADMINISTRATIVE PROCEDURES
The Director of Financial Services will monitor investments and cash balances held in
depository bank accounts on a weekly basis.
The Controller will provide cash flow projections and will monitor and report cash
requirements to the Director of Financial Services. Such needs will be initially determined at
the beginning of the fiscal year and will be modified, as necessary, throughout the year.
The Director of Financial Services will review the level of investments, cash balances, and
cash requirements and make necessary adjustments in the investment allocations and bank
balances.
All investment transaction and cash transfer confirmations will be prepared by the Director of
Financial Services and approved by the Vice President of Business Affairs. The related
banking transactions will be made by the Controller.
The Controller will maintain a subsidiary investment ledger for reconciliation to tho monthly
finnnriini rppnrt Tnvpnni rtntgtmantr nnH nthar V>rnVarMan|Qr qtntPmenfcj. ITlCCC TCpOrtC OTC tO
be reconciled monthly. The Controller's Office will record investments in compliance with
GASB and State Comptroller's reporting requirements and reconcile the appropriate
investment accounts to broker's statements and other supporting documents monthly.
Quarterly investment reports are prepared by the Director of Financial Services and approved
by the Vice President of Business Affairs in accordance with Section 15 of this investment
policy.
The market price of securities will be monitored on a monthly basis. The Wall Street Journal
will be used as the source of securities valuation.
Appendix No. 7
Policies for Board Review
January 1998
Faculty/Staff Traffic Appeals D-12
Health and Safety D-17
Illicit Drugs and Alcohol D-19
Abuse
Petitions and Handbills D-25
Information Form
Delete reference to Type I citations
Incorporate current job titles; contact for
revision
Update Minimum and maximum
Punishments
Delete 24 hour advance notice; change cross
reference to web page
Appendix No. 7
f' SUSPENSI0N AND REINSTATEMENT FOR
Original Implementation: January 30,1981
Last Revision: Current Date
Probation
A student is placed on academic probation after the first regular semester in
which the grade point average fails to meet the minimum standard.
Suspension
A student is placed on academic suspension for one regular semester after the
second consecutive regular semester of enrollment in which the grade point
average fails to meet the minimum standard.
Reinstatement
A student on academic suspension may be allowed to continue in the University
through any of the following procedures: "vci&uy
1. Attend summer school at Stephen F. Austin State University and
a. raise his/her grade point average to the minimum University standard
as specified in the General Bulletin, or
b. pass with a C average or better at least 9 semester credit hours as
specified by his/her dean.
2. Follow procedures established by his/her dean.
3. Be reinstated on probation automatically after one regular semester's
absence from the University.
SOURCE OF AUTHORITY: Vice President for Academic Affairs
CROSS REFERENCE: General Bulletin, Graduate Bulletin, Faculty Handbook
Student Handbook and Activities Calendar
CONTACT FOR REVISION: Vice President for Academic Affairs
FORMS: None
~ Stephen F. Austin State University -
Commencement T , . ..
^ • • it i - Index A-ll
Ongmal Implementation: February, 1984 p,,-,- ■, nf -.
Last Revision: rage l oi 1
The arrangements for commencement ceremonies to be held at the end of the fall sprin* and
summer semesters are the responsibility of the office of the Registrar except for me selection of
and arrangements for a speaker, which are the responsibility of the President.
Faculty members arc encouraged to attend onrh pnmmnnr.nt11nnt ni nn import3nt zyai\^iL
ceremony of the Uiiivorsity's function. Because of commencement >s importance as a symbol of
the University s core function, faculty members are encouraged to attend.
In order to have adequate representation of faculty at ^^Tnt it h thr ir-pOiUbilil uf
each dopartmont chairman to establish ^ nnfr n ^^ ,rh- Mr tn n::mL Jp ""^17
ftvo thirds of thc PPnntmont faculhy in the department attend each tommonccnieu7gg^ V
permanent member of the faculty is obliged to attend at least one commencement each year for
faculty teaching in the second summer term that one obligatory attendance is the August '
"roZZ DSPartment Chain ^ resP°nsihkf°r assuring faculty members' compliance with this
Attendance at two of tho thrnn pnmmnnrnn.nnt ^r-mnnir i h mindatoin fui puiwnicIIg^
All thoso teaching tho second nimmnr mrrinn rhn}M nttr ni1 thc Augu-t cummcnccmoilL
Source of Authority: Vice President for Academic Affairs
Cross Reference: None
Contact for Revision: Vice President for Academic Affairs
Forms: None
Courses in Shortened Format
Minimum Length of Courses
Original Implementation: February 4,1986
Last Revision: August 1, 1988 Current date
Index A-14
Page 1 of 1
Stephen F. Austin State University requires that each course (except individual instruction)
that it offers for degree credit shall conform, in format, to the explicit and implicit
expectations of academic tradition, regional accrediting agencies, and the Rules and
Regulations of "the Texas Higher Education Coordinating Board. One of those expectations
to predicated on the fact that, as stipulated by the Coordinating Board in its documVnTonte
Cnmrnnn CnlmAnr p y
normally shall include at least 15 weeks fc
2Qy 1978, and
&
29,1982), "a semester
for final examinations
combined" and a summer session
including registration, instruct [ski and final
:ludo no less that 5 1/2 calendar week,
Conventionally, each
class meeting lasts fifty (50) minutes d id an equivalent amount of time
during a summer session. That moai tipulatcd here that, for each semester hour
of credit a course carries, the class shall moot for 750 as each course
conforms to the 750 minute instru emestor hour of credit it
carries and is offered in not loss th than three weeks, the
course may bo conducted in any format that approp
t
the academic and public
interest. Students may receive credit fo r hours in any three
week period and may not can? )ffered in a shortened
format.
Permission to offer a course in a shortened format must be given by the appropriate
academic dean and the Vice President for Academic Affairs, who shall determine that the
format and content make it appropriate for shortened duration, and that the quality of the
course is equal to or better than a course offered under a regular format. A student enrolled
in such a course must meet the regular admissions requirements of the University -A
™"™J?^*lSh2TtC™d f0rm^ flhlJ1botoqght only on rnmpuo or at an off J
site approved by the Coordinating Board.
Source of Authority: Texas Higher Education Coordinating Board, President Vice
President for Academic Affairs
Cross Reference: Policy. Procedures and Format Guidelines Texas High
Education Coordinating Board, 1992
{Current web site http://www.thecb.state.tx.us/rules/5/5_A.htm)
Contact for Revision: Vice President for Academic Affairs
Forms: None
er
Final Examinations Index A-19
Original Implementation: Ju
Last Revision: None
Latest Review: Current Date
June 16,1982 Page 1 of 1
Faculty members conducting classes shall adhere to the official schedule for administering
final examinations published in the Schedule of Classes and distributed to the faculty by the
Vice President for Academic Affairs. Exceptions may be made by the appropriate academic
dean
Source of Authority: Vice President for Academic Affairs
Cross Reference: Faculty Handbook
Contact for Revision: Vice President for Academic Affairs
Forms: None
Graduate Assistantships Index A-20
Original Implementation: Unpublished Page 1 of
Last Revision: August 1,1988 Current date
To be eligible for a graduate assistantship, a student must have clear or provisional
admission to the graduate school and the department and be in good academic standing.
Applicants will contact tho respective; academic department, and, along with an application
form, must submit three letters of recommendation and a letter of intent.
When tho student is approved for an assistantship by tho Chairman of tho Department, tin
Chairman will initiate a "Personnel Action Request" (Sec Personnel Action Request
procedure.) and submit it with the application, transcripts and letters of rocommendatieft
thrnngh thn AnnHnmir rv-m TVrnr»tr.r »f Prrgonncl Service::, Graduate Dean Vice
PPrmensiiddaenntt ffnorr AAcmaHdenmiic A*f fffaiir s andd vVji ce PPriesdid ent ffo r AAdmdiniisktr ative? and Fiscal Affaiis.
Aftordlsignatures are obtained on the "Personnel Action Poqnost" fonu, it L itlumtd lu
tho Graduate School office. A student must be approved for an assistantship by the Chair
of the Department, the Academic Dean, the Director of Personnel Services, the Budget
Director, and the Associate Vice President for Graduate Studies and Research.
If tho student is approved at nil Wnln, thn tw nf thn qrt]r]mtr r,rhool rail :cnd a lottei lu
thc prospective nr.r.jr.tnnfr-hip nmHirf^ nffnrinr, ^ pmiHnn A copy of thi: lottui it,
gggj j?th0 ydQ.nVs aca,dcmjc dcan and department. A copy is also kopt with his/hci
papers (PAR, application, etc.) in tho Graduate School office until the student accepts eV
declines the offer in writing.
If tho student accepts, thc paperwork is appropriately distributed.
£^Jg^xS^^Py ?^ incclluuddii nSthc dGcMng 1nttgr>is ™M l^atL lu Hit
department. Nothing is retained in thc Graduate School Dean's office.
Except for students in the Ed.D., D.F. and M.F.A. programs, a student may e*riy-receive
an assistantship for no more than four long semesters.
Source of Authority: Vice President for Academic Affairs
Cross Reference: Neae- Graduate Bulletin
Contact for Revision: Dean of the Graduate School Associate Vice President for
Graduate Studies and Research
Forms: Application Form for Graduate Assistantships (available from the office of the
Chairman Chair of the academic department).
Guest Lecturers
Original Implementation; October 1,1980
Last Revision: None
Last Review: Current Date
Source of Authority: Vice President for Academic Affairs
Cross Reference: Faculty Handbook
Contact for Revision: Vice President for Academic Affairs
Forms: None
Meeting and Conducting Classes *rnjo A it
priginanmplementation: June 16,1982 - Pap* 1 hf1
Last Revision: None ra2e lo11
Source of Authority: Vice President for Academic Affairs
Cross Reference: General Bulletin, Graduate Bulletin, Faculty Handbook
Contact for Revision: Vice President for Academic Affairs
Forms: None
REGENTS PROFESSORS A_38
Original Implementation: October, 1979
hast Previous Revision: April 18,1989*
Lost Revision: Current Date
Each year at its spring meeting, the Board of Regents recognizes one or two truly
outstanding faculty members as Regents Professors for the coming academic year
These professors receive a monetary award to be used in support of their
activities in that year and are recognized at the spring commencement
ceremonies at the end of their term, at which time they are presented a medal.
Any tenured faculty member of the University is eligible for nomination for
Regents Professor.
1. A nomination shall be made by a tenured faculty member of the University
in writing to the department Chair and shall consist of the resume and
not moro than ton additional supporting documents that can be contained in one
3inch, 3 ring, notebook.
2. A nomination shall be submitted without regard to the distinction between
teaching and research.
3. Previous recipients shall serve as a review panel and individually and
independently submit a ranking of nominees to the Academic Affairs Council Vice
President for Academic Affairs.
4. Nominations shall be reviewed by the Academic Affaire Council Council of Deans
which shall recommend the nominees who best represent teaching and/or research
of as4 exceptionally high quality.
5. The Academic Affairs Council of Deans shall make its recommendations, in turn to
the Vice President for Academic Affairs, the President, the Chair of the
Academic Affairs Committee of the Board of Regents, and the full Board
Should the Academic Affairs Council of Deans conclude that nominees do not meet
the expectations for a Regents Professorship, it shall recommend that the honor not
be bestowed.
6. Recipients shall be chosen by the Board of Regents.
During the course of their teawe initial year as Regents Professors, recipients shall be
available for consultation to the academic community.
♦Minor changes in procedure only wore recommended by the Faculty Committee uf
the Academic Affairs Council.
SOURCE OF AUTHORITY: Board of Regents, President, Vice President for Academic
Affairs
CROSS REFERENCE: None
CONTACT FOR REVISION: Vice President for Academic Affairs
FORMS: None
Research Grants Enhancement Program Index A-39
Original Implementation: September, 1965 " Page 1 of -6 2
Last Revision: September, 1990 Currentdate
Research Enhancement funds provided by the State of Texas are the basis of the support for the faculty
research enhancement program. The funds are intended to encourage and enhance research opportunities
for faculty members and serve as "supportfor innovative research and seed monies to attract non-state
financial support. "[1987 Report of the Select Committee on Higher Education.]
The Research Enhancement Program at Stephen F. Austin State University is composed of two
components: the Faculty Research Grants Program and the Minigrants Program. The Faculty Research
Grants Program provides substantive support for research and scholarly creative activities. Minigrants
provide an opportunity for faculty to carry out small projects or preliminary research activities which will
increase their competitiveness in the acquisition of external funds.
Any faculty member of tho rank of instructor or higher or including any professional librarian is eligible
to apply for a faculty research grant, subject to the following conditions: °
1. A faculty research grant will not be awarded for the purpose of obtaining an advanced
academic degree.
2. The recipient of a faculty research grant in a given year is ineligible for a grant the following
year, except that, in the first year of a fiscal biennium, a project under extraordinary &
circumstances may be funded for two years under extraordinary circumstances.
3. Except in extraordinary circumstances, an applicant is limited to one faculty research grant
proposal in a single year.
4. The recipient of a faculty research grant may not accept another concurrent grant for the same
research.
$*~ The recipient of n fnraiity rpwrrh m-nnt fnr n ^1rnrncr session i: expected tn rirvntr fhTI ti in
teach nor engage in anv other activity fnr whir* hr>trhn and application procedures contact the Office of Research and
Source of Authority: Texas Education Code, sec. 141.001 etsea.: 7 U S C sec 2m- 0 pfr
P^t3; 17^C, sec. 101; 37 CFR Parts 203 and 204; 35 U.S.C.^ef 01; 42 fee sec 289 4?
CFR Part 46; President; Vice President for Academic Affairs '
Cross Reference: University Policy D-20, Intellectual Property
fa» Vice Presiien,for Graiuau
Forms: None
Norton HPE Complex Index B-20
Original Implementation: Summer, 1975 Page 1 of 2
Last Revision:-498$January, 1998
The provisions of the policy for Use of University Facilities govern the use of all
buildings, facilities, equipment and grounds, hereinafter referred to as facilities, under the control
of Stephen F. Austin State University. That policy provides that the University may establish
additional procedures for the reservation and use of specific facilities; therefore, the following
provisions apply to the Norton HPE complex.
The Lucille Norton HPE Complex is intended primarily for the use of SFASU students. The first
priority use is for instruction, the second priority is for organized intramurals, and the third for
recreation of students, faculty, and staff and fourth for summer camps with a building maintenance
fee attached.
University-sponsored groups may apply for use of the complex in accordance with the policy on
Use of University Facilities. Application for the use of the Complex and tennis courts shall be
made to the Chairman: of the HPE Kinesiology and Health Science Department, and for other
outside recreational areas, to the Director of Intramurals. These request are normally honored
provided the before mentioned guidelines are met.
Outside groups may apply for use of the Complex in accordance with University regulations. Area
public schools are usually granted permission to use the tennis courts and, on rare occasion,
Shelton Gym, for district and/or regional playoffs. Requests other than these require
administrative approval by the respective vice president(s) and/or the President of the University.
The following are specific guidelines for the use of the Norton HPE Complex by faculty and staff.
1. Faculty and staff I.D. card required to use facilities and/or check out equipment
2. No charge for use of facilities or pool by faculty or staff members; faculty/staff
families have access to outdoor pooly at a cost of $10- $20 and the tennis courts at no
cost. There is no access to the complex for faculty/stafffamilies.
| 3. ■ Family swim passes ($40 20) may be purchased at the Ticket Office and faculty/staff
locker fee ($4 per semester) paid at the University Business Office.
| 4. Full time F/aculty and staff participation permitted in organized intramurals
I ^ Lap swim (indoor pool) for faculty/staff 7:00 am to 7:50 am
I 65v Racquetball courts available by reservation at the equipment room; individuals must
I reserve a court in person (with I.D.); only one hour per week
| 76. Indoor recreation area open:
Monday - Thursday £00- 3;00 p.m. to 10:00 p.m.
Friday &00-1:00 p.m. to 9:00 p.m.
Saturday 10:00 a.m 12 noon, to 6:00 p.m
Sunday 1:00 p.m. to 9:00 p.m.
Index B-20
Page 2 of 2
Source of Authority: Board of Regents, President, Vice President for Academic
Affairs, Vice President for University Affairs
Cross Reference: Intramural Handbook
Contact for Revision: Chair of the Department of Kinesiology and Health
Science; Director oflntramurals
Forms: None
Agency Accounts C-1.2
Original Implementation: January 20, 1998
Last Revision: None
Funds held in agency accounts are held by the institution acting as the custodian or fiscal agent. The
money is deposited with the University for safekeeping, to be used or withdrawn by the depositor at will.
These funds may be held on behalf of students, faculty, staff, organizations, or some other third party.
Agency accounts will be assigned account numbers in the 09xxxx series. The University reserves the right
to commingle these funds with University cash accounts deposited in banks external to the institution.
Agency accounts will not accrue interest in any manner nor will administrative costs or fees be assessed by
the University to the account, except for specifically identified bank charges related directly to the agency
funds. These funds will be accounted for with the same level of safekeeping as funds owned by the
University. See Policy C-34, Request to Establish an Account, to establish an account. The University
reserves the right to not establish agency accounts which create unreasonable obligations for the University
or for other reasons within the institution's sole discretion. Establishment of agency accounts must be
related to the mission of the University. Should owners of any agency account wish to conduct an audit
independent of the University's own initiative, they may do so, and must obtain their own Auditor with
their own funds. These accounts are subject to review by University and other state agency officials, or
those with authority to do so under law.
Agency accounts are not permitted to have negative balances. Should negative balances inadvertently
occur, the University may assess all costs associated with collecting funds owed to the institution including
but not limited to: a $25 institutional fine each time an account goes into a negative balance, collection
agency costs, interest, and legal fees and costs associated therewith.
Source of Authority: Vice President for Business Affairs
Cross Reference: None
Contact for Revision: Controller
Forms: See forms for Request to Establish an Account, Policy C-34
Food Services Index C-13.5
Original Implementation: January, 1998 Page 1 of 1
Last Revision: None
The University is committed to providing students the opportunity to participate in the selection and
evaluation of the food service contractor. Students are encouraged to participate by attending
regularly scheduled meetings of the Food Service Advisory Committee. The Advisory Committee
provides the Director of Auxiliary Services and food service contractor with immediate feedback on
issues and concerns of the students.
During the last year of each contract term, the University will ask the Food Service Advisory
Committee to participate in the formal evaluation of the food service program. Should the
University decide to retain the contractor, the Advisory Committee will assist the Director of
Auxiliary Services in the preparation of the terms and conditions of the new contract.
Should the decision be made to re-bid the contract, an ad hoc committee will be convened. The
committee will be appointed by the Vice President for University Affairs and will include members
of the Advisory Committee, the faculty and administration.
Source of Authority: Section 51.940, Texas Education Code; Board of Regents; President;
Vice President for University Affairs
Cross Reference: Stephen F. Austin State University Web Page
Contact for Revision: Director of Auxiliary Services
Forms: None
DRIVER CERTIFICATION D-10
Original Implementation: May 4,1983
Last Revision: November 10, \V%yjanuary 20, 1998
Driver certification is required for any University employee who must drive a University vehicle within the
scope of his/her employment. Such certification is processed through the University Police Department
(UPD). An "Application Approved Drivers Certification" form is obtained from the Administrative
Secretary in UPD and should be signed at the bottom by the applicant's department head. In addition to the
nppiintinn thn TTniirarrfy employee mu:t complete a "P.cquc:t For Information From Tcica: Driver
d" f Th
py p q For In
Licensing Records" (LIDR 1) form. The Employee mUit uturn the LIDR 1 foun to his/her dopaitmml
head. The department head must forward to tho University Business Office thr I.IDR 1 form accuuiuduiul
^1CTI[^U^.:ZVmKhZ- ^ U^rsity Dusine3J Oflkn rv]]] IDT me a^apriate depar^enTal
account for tho required fnn -mH frnirnrrl thn t mp ] frrm nnr| pa:>incnt to Au:tin.
Upon receipt of the driving record report from Austin, and in compliance with University requirements
UPD will: (a) issue a temporary permit valid for 180 days, (b) issue a permanent permit valid for two '
years, or (c) deny driver certification.
A defensive driving course must be completed in order to receive a permanent permit and must be
completed every three years to maintain the permanent permit. The temporary permit is issued- (a) prior to
completion of the defensive driving course and (b) for specific-use purposes, such as an academic field trip.
Source Of Authority: Board of Regents, President, Vice President for
University Affairs
Cross Reference: None
Contact For Revision: President
Forms: Application Approved Drivers Certification^. T?»gnnrt w Tnfrrmnfjnn from Toki: Drivm
Licensing Records (both available in tho University Police Department)
Faculty/Staff Traffic Appeals D_12
Page 1 of 3
Original Implementation: March 2,1981
Last Revision: UeaeJanuary 20, 1998
The purpose of this procedure is to insure due process of law to any faculty/staff member charged with a
violation of the University's parking regulations.
Any faculty/staff member at Stephen F. Austin State University may appeal a T¥P&4-parking citation by
submitting an application for appeal to the Faculty/Staff Traffic Appeals Board within seven (7) working
days of the issuance of the citation. Applications for appeal are obtained at the University Police
Department. On the application the faculty/staff member will select which of the listed hearing dates are
compatible with his/her schedule. °
Composition and Jurisdiction of Faculty/Staff Traffic Appeals Board
Composition
1. The Faculty/Staff Traffic Appeals Board shall be composed of seven (7)
faculty/staff members appointed by the President, in consultation with
the Vice President for Academic Affairs, the Vice President for Business
Administrative and Fiscal Affairs, the Vice President for University
Affairs, and the Faculty Senate. The Student Traffic Appeals Board and
the Faculty/Staff Traffic Appeals Board shall select one of its members
to serve as an ex officio member on the other board with all privileges
of membership except the right to vote and to hold office. The Faculty/
Staff Traffic Appeals Board shall elect its Chairperson.
2. The members of the Faculty/Staff Traffic Appeals Board shall serve
three-year staggered terms.
3. Any member of the Board who receives three (3) or more traffic (including
parking) citations within any regular semester shall be disqualified as a
member and replaced for the unexpired term. Vacancies will be filled
with the appointment of a new member by the President.
Jurisdiction
The Faculty/Staff Traffic Appeals Board shall have original jurisdiction over all T¥PE4-parking citations
issued by the University Police Department.
Summoning Procedure
Notice
Within ten (10) days of the appeal application date, the Chairperson of the Faculty/Staff Traffic Appeals
Board shall inform the applicant in writing of the time and place of his/her hearing. The hearing will be
within thirty (30) days of the appeal application date.
Failure to Appear
The failure of the appellant to appear at the time appointed for his/her hearing shall forfeit his/her right to a
hearing and shall constitute a waiver of the rights granted by these procedures, unless the Faculty/Staff
Traffic Appeals Board excuses the absence for good cause shown.
Conduct of Hearing
Sessions
Index D-12
Page 2 of3
The Faculty/Staff Traffic Appeals Board shall determine in September of each year the schedule of hearing
dates for the fall and spring semesters and publish these dates on the appeals application form. The °
Chairperson may cancel a hearing if, in his/her judgment, it is not required due to the lack of appeals
brought to the Board. Hearings will be scheduled by the Chairperson as required during the summer.
The hearings shall be heard during regular business hours of the University. Where possible they shall be
scheduled by the Chairperson at a time convenient to both the parties and the panel members The
University and its police department shall be parties in all appeals brought before the Board.
Appellant's Rights
The appeals application form and the hearing notice from the Faculty/Staff Traffic Appeals Board shall
among other things, inform the faculty/staff member of his/her rights:
1. to be accompanied by one (1) representative;
2. to know the identity of the police officer who issued the citation;
3. to summon his/her own witnesses, produce evidence, and to speak in his/her
own defense;
4. to cross-examine witnesses testifying against him/her;
5. to inspect and copy the record of the hearing at his/her cost.
Rules of Procedure
1. The Board may hear appeals for parking citations for which an application
to appeal has been filed in accordance with these rules.
2. Each citation shall be appealed separately.
3. Each appeal shall be heard and decided on its own merit.
4. The Board may examine, cross-examine, call, recall, and dismiss any
witness.
5. The Board may limit the number of witnesses whose testimony will be
repetitious and establish time limits for testimony so long as all
viewpoints are given a reasonable opportunity to be expressed.
6. The Board shall maintain an adequate record of each hearing. Summary
notes shall be deemed an adequate record for this purpose.
7. The Chief of the University Police Department, or his/her delegate, may
represent the University in any hearing.
8. The Board may enter into closed session for deliberation at the conclusion
of the presentation of evidence.
Index D-12
9. The Board's judgment must be rendered within three (3) working days of ^
the hearing.
10. A member of the Board must excuse himself/herself from any appeal in
which he/she is involved, or in which a member of his/her family is
involved.
Findings and Sanctions
Findings
The Board shall decide only whether or not the defendant is guilty of the parking offense as charged in the
citation.
Sanctions
The service charges for each offense are established by the Board of Regents and may not be reduced or
eliminated by the Faculty/Staff Traffic Appeals Board if the individual is found guilty of the parking
offense. &
Source Of Authority: President
Cross Reference: None
Contact For Revision: President
Forms: None
Health And Safety D-17
Original Implementation: February 11,1977
Last Revision : May 26,1987 January 20,1998
This document will establish for Stephen F. Austin State University the policy for
the protection of the University's human and material resources and the
maintenance of a safe and healthful environment complementary to the
University's needs and the accomplishment of its goals.
The intention of this policy statement is to create among all members of the
University community an awareness of and a commitment to an effective safety
program. The primary concern of this program will be the safety and well-being
of the students, faculty, staff and visitors. The program will be promoted through
training, identification of hazards, and initiation of loss-control measures aimed at
the overall reduction of accidents and risk.
Responsibility for, and the coordination of, the various aspects of the University's
safety program is vested in the University Environmental Safety and
Health/Radiation Committee which reports to the President of the University.
The Committee will be composed of the Radiation Safety Officer, the Chief of
University Police, and other faculty and staff members appointed by the President.
The Director of University Health Services, the Director of Safety, the Director of
Hazardous Material Control, and the Assistant Safety Director acting as the
Workman's Compensation Representative are ex officio members. The
Committee will meet at intervals necessary to fulfill its responsibilities as a
clearinghouse and consultative organization for the University safety and health
problems, a liaison between the University and the State Employees Workers'
Compensation Division of the Office of the Attorney General of Texas, and an
advisory body reporting to the President on the status of the University's safety
control activities.
The Occupational Safety and Health Program for Texas State Agencies, published
by the Attorney General of the State of Texas, is the program document for the
University's safety program except as noted in item 1 below. Responsibilities are
assigned to individuals at appropriate levels of authority and expertise as follows.
1. The responsibility for physical safety, fire protection, occupational health,
and engineering controls is assigned to the Director of Safety, who reports
to the Vice President for Administrative; and Fiocal Business Affairs. The
Director of Safety will assume the duties of Accident Prevention
Coordinator. The Assistant Safety Director acting as the Workers'
Compensation Representative Claims Coordinator associated with the
State Employees Workers' Compensation Division of the office of the
Attorney General of Texas shall report to the Director of Safety.
D-17
Page 2 of 3
2. The responsibility for radiological safety, including the purchase,
transportation, use, storage, and disposal of radioactive materials is
assigned to the Radiation Safety Officer who reports to the President of
the University. The Radiation Safety Officer will assume the
responsibility for the Radioactive Materials Management Program to
assure compliance with the conditions of the license/registrations issued
by the Texas Bureau of Radiation Control, Texas Department of Health.
3. The responsibility for control of hazardous materials, including use,
storage, and disposal of regulated hazardous materials, as well as the
responsibility for compliance with the Texas Hazard Communication Act,
is assigned to the Director of Hazardous Material Control who reports to
the President of the University.
4. The responsibility for campus security, traffic control, criminal
investigation, and civil order is assigned to the Chief of University Police
who reports to the Vice President for University Affairs.
5. The responsibility for the maintenance of the health of students and the
initial care of the faculty and staff members suffering from minor
occupational injuries or illness is assigned to the Director of University
Health Services, who reports to the Vice President for University Affairs.
In addition to the aforementioned and specifically-assigned responsibilities, it
shall be the general responsibility of all faculty and staff members to attempt to
recognize hazards in their areas of activity and to take positive action to reduce or
eliminate those hazards. Staff members shall be responsible for the education of
their employees and students in regard to proper job procedures and recognized
hazards before making task assignments.
In all University activities and endeavors, safety is the first concern. The
members of the University community shall comply with all statutes, rules,
regulations and codes by which the University is bound. They shall also attempt
to comply with the spirit of any non-binding requirement which would further the
University's intent to provide and maintain a safe and healthful environment in
which to work, study, and live.
D-17
Page 3 of 3
SOURCE OF AUTHORITY: President
CROSS REFERENCE: None
CONTACT FOR REVISION: President, University Safety Director
FORMS: None
Illicit Drugs and Alcohol Abuse Index D-19
Original Implementation: September 1,1986 Page 1 of 7
| Last Revision: Septombor, \990 January, 1998
It is the declared policy of the United States Government to create a Drug-Free America by
1995. As a part of that policy, the Drug-Free Workplace Act of 1988, P.L. 100-690 Subtitle
D was adopted. On December 12,1989, President Bush signed the Drug-Free Schools and
Communities Act Amendment of 1989, P.L. 101-226, which amends provisions of the Dru*-
Free Schools and Communities Act of 1986 and the Higher Education Act of 1965 University
policies relating to the use of illegal drugs and alcoholic beverages have been established by the
Board of Regents of Stephen F. Austin State University in compliance with state and federal
law.
Standards of Conduct
University policy prohibits all employees (full-time and part-time faculty, staff, and students)
from engaging in the unlawful manufacture, distribution, dispensation, possession or use of a
controlled substance or alcoholic beverage in the workplace, or reporting to work under the
influence of alcoholic beverages or illegal drags. None of the funds appropriated to the
University by the State Legislature for travel expenses may be expended for alcoholic
beverages.
University policy further stipulates, with regard to students, that the unauthorized use of
intoxicating beverages on University property or at University sponsored activities including
but not limited to, intercollegiate and intramural athletic events is prohibited Alcoholic
beverages are not permitted in University residence halls. With regard to student apartments
state law prohibits individuals under 21 years of age from possessing or consuming alcoholic
beverages.
It is the policy of Stephen F. Austin State University that any unlawful manufacture
possession or delivery of any controlled substance or illegal drag is strictly prohibited
Moreover it is the policy of the State of Texas and of this University that this institution will be
free of illegal drags as it can possibly be.
Health Risks
Alcohol Abuse.
Alcohol is a primary and continuous depressant of the central nervous system. Impairment of
judgment and of recently learned, complex and finely tuned skills begins to occur at blood
alcohol concentrations as low as 0.025 percent. These impairments are followed by the loss of
more primitive skills and functions, such as gross motor control and orientation at
concentrations in excess of 0.05 percent. Alcohol in moderate doses impairs nearly every
aspect of information processing, including the ability to abstract and conceptualize the ability
to use large numbers of situational cues presented simultaneously, and the cognitive ability to
determine meaning from incoming information. Alcohol consumption can therefore promote
action on impulse without full appreciation of, or concern about, the potential negative
consequences of such action. Chronic long-term effects of heavy drinking overt period of
years can result in brain damage, cancer of the mouth, esophagus or stomach, heart disease
liver damage resulting in cirrhosis, alcoholic hepatitis, and cancer of the liver, peptic ulcer '
disease and possible damage of the adrenal and pituitary glands. Prolonged excessive
drinking can shorten life-span by 10-12 years
Index D-19
Page 2 of 7
Dlicit Drugs.
Elicit drugs include narcotics, such as heroin or morphine; depressants, such as barbiturates
Quaaludes, or valium; stimulants, such as cocaine or "crack"; hallucinogens, such as PCP '
LSD or mescaline; cannabis, such as marijuana or hashish; inhalants, such as nitrous oxide
amyl nitrite (poppers) or various hydrocarbon solvents; and designer drugs, such as China '
White, methamphetamine (Ecstacy) ormeperidine (Demerol).
Narcotics. Narcotics initially produce a feeling of euphoria that is often followed by
drowsiness, nausea and vomiting. Tolerance may develop rapidly and dependence is likely
The use of contaminated syringes may result in diseases such as AIDS, endocarditis
(inflammation of the lining of the heart) and hepatitis.
Depressants. The effects of depressants are in many ways similar to the effects of alcohol
Small amounts can produce calmness and relaxed muscles, but a somewhat larger dose can
cause slurred speech, ataxia or unstable gait and altered perception. Very large doses can cause
respiratory depression, coma and death. The combination of depressants and alcohol can
multiply the effects of the drugs, thereby multiplying the risks. The use of depressants can
cause both physical and psychological dependence.
Stimulants Cocaine stimulates the central nervous system. Its immediate effects include
dilated pupils; elevated blood pressure, heart and respiratory rate; and body temperature
Occasional use can cause a stuffy or runny nose, while chronic use can ulcerate the mucous
membrane of the nose with long-term use eroding the nasal septum. The injection of cocaine
with unstenle equipment can cause AIDS, hepatitis and other diseases. Preparation of
freebase, which involves the use of volatile solvents, can result in death or injury from fire or
explosion Cocaine can produce psychological and physical dependency. In addition
tolerance develops rapidly. Crack or freebase rock is extremely addictive. The physical effects
include dilated pupils, increased pulse rate, elevated blood pressure, insomnia, loss of appetite
tactile hallucinations, paranoia and seizures. Overdoses occur easily.
Hallucinogens. Phencyclidine (PCP) users frequently report a sense of distance and
estrangement. Time and body movement are slowed down. Muscular coordination worsens
and senses are dulled Speech is blocked and incoherent. Chronic PCP users report persistent
.memory problems and speech difficulties. Mood disorders, such as depression, anxiety and
violent behavior, may also occur. In late stages of chronic use, users often exhibit paranoid
Sir°H ^,aV10^ ™d tx¥™nct hfucinations. Large doses may produce convulsions and
coma heart failure, lung problems and/or ruptured blood vessels in the brain. Lysergic acid
(LSD), mescaline and psilocybin cause illusions and hallucinations. The physical effects mav
include dilated pupils, elevated body temperature, increased heart rate and blood pressure loss
of appetite, sleeplessness and tremors. Sensations and feelings may change rapidly It is'
common to have a bad psychological reaction to LSD, mescaline and psilocybin. the user mav
experience panic, confusion, suspicion, anxiety and loss of control. Delayed effects or
flashbacks can occur even after use has ceased.
Inhalants. The chemicals in most inhalants are rapidly absorbed in the lungs and exert their
central nervous system effects within seconds, producing an altered mental state for about five
to fifteen minutes Immediate effects of inhalants include nausea, sneezing, coughing nose
bleeds, fatigue, lack of coordination and loss of appetite. Solvents and aerosol sjraylcan
Index D-19
Page 3 of 7
decrease the heart and respiratory rates and impair judgment. Amyl and butyl nitrite can cause
rapid pulse, headaches and involuntary passing of urine and feces. Inhalation of toluene as
well as other hydrocarbons has been associated with kidney and liver damage, peripheral nerve
problems, convulsions, encephalopathy (organic brain damage) and other central nervous
system disorders. Sudden death associated with both glue sniffing and especially the
inhalation of aerosols containing halogenated hydrocarbons (Freon) has been reported and is
thought to be secondary to cardiac arrhythmias (abnormal electrical conduction patterns in the
heart).
Marijuana. The short term effects of marijuana include distortion of time perception, increased
heart rate, dilation of blood vessels and loss of short term memory. Also decreased are visual
perception and psychomotor skills, which have adverse effects on driving ability. The effects
of long term use include loss of motivation, chronic bronchitis, decreased vital lung capacity
and an increased risk of lung cancer. Tolerance and psychological dependence do develop with
marijuana.
Designer Drugs. Designer drugs are synthetic chemical modifications of older drugs of abuse
that are designed and manufactured in covert laboratories and sold at great profit for
recreational use. These drags can be several hundred to several thousand times stronger than
the drags they are designed to imitate. Designer drags similar to opiates include fentanyl
demerol, and "china white." The narcotic analogs of designer drags can cause symptoms such
as those seen in Parkinson's disease - - uncontrollable tremors, drooling, impaired speech
paralysis, and irreversible brain damage. Analogs of amphetamines and methamphetamines
cause nausea, blurred vision, chills or sweating and faintness. Psychological effects include
anxiety, depression, and paranoia. Withdrawal problems include sweating, diarrhea, fever
insomnia, irritability, nausea and vomiting and muscle and joint pain.
University Penalties
Students.
Any student who is determined through the regular disciplinary procedures of the University
to have violated the policy on the use of illicit drags will be suspended from the University for
no more than two years and no less than the remainder of the current semester.
University sanctions imposed for alcohol possession or consumption include the following.
» First offense - The student is placed on Conduct Probation for a period of six months and is
required to attend an alcohol awareness class provided through the University's Counseling
and Career Services nffioe J B
» Second offense - The student is placed on Disciplinary Probation for a period of twelve
months. This sanction may include the condition that continued participation in campus
activities will be curtailed or restricted for that same period.
» Third offense - The student is suspended from the University.
Index D-19
Page 4 of 7
Employees.
Observance of the policy regarding alcoholic beverages and illegal drugs is a condition of
employment for all University employees. An employee violating this policy shall be subject to
employment discipline up to and including termination, or shall be required to undergo
satisfactory participation in a drug abuse assistance or rehabilitation program.
Any employee directly engaged in the performance of work pursuant to the provision of a
federal grant or contract who is convicted of violating a criminal drug statute shall notify his/her
immediate supervisor of the conviction no later than five days after the conviction The
immediate supervisor shall promptly report the conviction to the appropriate vice president and
the Director of Research Services. On behalf of the University, the Director of Research
Services shall notify the federal agency grantor or contractor of the conviction within ten days
of the University s receipt of notice from the employee or of receipt of other actual notice.
State and Federal Penalties
Offense
Federal Law
Minimum Punishment Maximum Punishment
Manufacture, distribution or
dispensing drugs (includes
marijuana)
Possession of drugs (including
marijuana)
Operation of a common carrier
under the influence of alcohol or
drugs
A term of imprisonment not
more than eae-20 years, and a
minimum fine of $1,000,000
Civil penalty in amount not to
exceed $10,000
A term of life imprisonment
without release (no eligibility
for parole) and a fine not to
exceed $84,000,000 (for an
individual) or $20,000,000 (if
other than an individual)
Imprisonment for not more than
20 years or not less than 5 years,
a fine of not less than $5,000
plus costs of investigation and
prosecution
Imprisonnment for up to 15
years and a fine not to exceed
$250,000
Index D-19
Page 5 of 7
Offense
Texas Law
Minimum Punishment Maximu sh
Manufacture or delivery of
controlled substances (drugs)
Possession of controlled
substances (drugs)
Delivery of marijuana
Possession of marijuana
Driving while intoxicated
(includes intoxication from
alcohol, drugs, or both)
Public intoxication
Purchase p_i consumption o_i
possession of alcohol by a minor
Sale of alcohol to a minor
Confinement in the Texas
Department of Corrections (TDC)
Criminal Justice State Jail
facility for a term of not more
than 40 2 years or less than 2
yeafs7£0 days, or confinement
in a community correctional
facility for not more than 1 year,
and a fine not to exceed $10,000
Confinement in jail for a term of
not more than 180 days, and a
fine not to exceed-W7OOO52,000
Confinement in jail for a term of
not more than 180 days, and a
fine not to excecd-$±1QQQ$2,000
Confinement in jail for a term not
to exceed 180 days, and a fine not
to exceed-£4£0O52,000
Confinement in jail for a term of
not more than two years or less
than 72 hours, and a fine of not
more than $1,000 or loss than
$40052,000
Fine of not less than $25 nor
more than 5500$OOO
Fine of not less than $100 nor
more than $500-^4,000or
Confinement in TDC for life or
for a term of not more than 99
years or less than 7500 years,
and a fine not to exceed
$500,0005250,000
Confinement in TDC for life or
for a term of not more than 99
years or less than 4075 years,
and a fine not to exceed
$100,0005250,000
Confinement in TDC for life or
for a term of not more than 99
years or less than 44 70years, and
a fine not to exceed
$0^0005700,000
Confinement in TDC for life or
for a term of not more than 99
years or less than 15 yoars5
years, and a fine not to exceed
$250,000550,000,
Confinement in jail for a term of
not more than two years or less
than 30 days, or confinement in
TDC for a term of not more than
470 years or less than-6O4ays2
years, and a fine of not more-tbaft
$2,000 or loss than
$500570,000
A fine not to exceed-$OOO5500
For a subsequent offense, a fine of
not less than $400^5250 nor
more than-$5QO$2,000
For a subsequent offense, a fine of
not less than $500-^250 nor
more than-W7OOO-52,000or
confinement in jail for not more
than 1 year 180 days or both
Index D-19
Page 6 of 7
Counseling. Treatment and Rehabilitation
Students.
Stephen F Austin State University, through the Counseling and Career Services office, provides
an alcohol/drug abuse prevention program which is available to all students. Program components
include assistance in abstaining from the use of chemical substances, early intervention when
chemical abuse is detected, and referral to a campus support system and/or a community referral
for inpatient/outpatient services not available on campus. Medical counseling and printed
information on chemical dependency are available through University Health Services, the campus
g^ent healtii facility. Students may seek individual counseling or request printed information at
Prevention/Education. The objectives of this element of the assistance program are to- increase
awareness of the students, faculty, and staff concerning the psychological and health risks
associated with chemical use; provide information to students regarding a variety of wellness
issues which promote successful college adjustment; and, orient students, faculty and staff to the
services available through the assistance program. Presentations are available to student groups on
a variety of topics including alcohol and substance abuse, adult children of alcoholics
assertiveness skills, stress and time management, self-esteem and related issues A group
representative should contact the Counseling and Career Services office to schedule a presentation
The assistance program also offers an Alcohol Awareness Workshop. The four-hour workshop '
divided into two sessions provides basic information, tools for self-assessment, information on
University and state regulations, and an orientation to the assistance program. Students mav
request to attend the workshop or be referred by the Dean of Student Development.
Referral/Assessment. Any SFA student requiring information about, or assistance with a
chemical abuse problem may be referred to the assistance program. A student may initiate a self-referral
by contacting the Counseling and Career Services office; University faculty and staff mav
initiate a student referral. Participation by a student is voluntary/except when mandated by the
Dean of Student Development. A staff counselor conducts an assessment interview on the
student s initial visit to Counseling and Career Services and provides the student with details
regarding confidentiality and record keeping requirements. The counselor informs the student of
alternatives and makes recommendations based on the student's needs
Campus Support System. The assistance program serves as a link between the individual student
and support groups which are available for chemical dependency, adult children of alcoholics and
Career S°avfces ^ ^^ fanCtion Under g"^111165 established by Counseling and
Community Referral Services for chemical dependency are available in the Nacogdoches
community and include: private practitioners offering individual counseling or
mteUectual/psychological assessment; self-help groups such as Alcoholics Anonymous and
Narcotics Anonymous; and, inpatient/outpatient treatment
Employees.
University employees with supervisory responsibilities should be cognizant of employee behavior
related to unacceptable job performance which may result from drug or alcohol abuse! Any
Index D-19
Page 7 of 7
decision to initiate employee counseling or a referral to Personnel Services should be based on the
employee s unacceptable job performance. Employee counseling, referral and related record
keepmg should be conducted with the degree of care and confidentiality appropriate to such
personnel matters. Assistance beyond preliminary counseling through Personnel Services is
available to University employees through the Employee Wellness Program with Memorial
Hospital of Nacogdoches. Alcohol and drug abuse seminars are among the services provided cost-free
to University employees. Other services for employees with a chemical dependency are
available in the community, including private practitioners offering individual counseling self-help
groups such as Alcoholics Anonymous and Narcotics Anonymous, and inpatient/outDatient
treatment at various health care facilities.
It is the intent of Stephen F. Austin State University to continue to strive for a drup-frep. ramnng
and to comply with state and federal regulations regarding prevention programs estah1ishP7^~
ehminate the illegal use of drugs and alcohol a W To th\c PnH Qt^jj^ F Ali:tin gt3tc
University will provide annually to each student and employee a copy of this drug and alcohol
abuse prevention program. In addition, the University will conduct a biennial review of this
program implemented to provide a learning and working environment free of drug and alcohol use
The purposes of the biennial review will be to: 1) determine the effectiveness of the program and '
implement needed changes; and 2) ensure that the sanctions included in the program are
consistently enforced. The University's General Counsel will be responsible for initiating the
nifinnifll review c 6
Source of Authority: PL. 100-690, sec. 5151 etsea.;P.L. 101-226, which amends
provisions of the Drug-Free Schools and Communities Act of 1986 and the Higher
Education Act of 1965; General Appropriations Act; Board of Regents; President
Cross Reference: None
Contact for Revision: General Counsel
Forms: None
Petitions and Handbills Index D-25
Original Implementation: July, 1980 Page 1 of 3
| Last Revision:-Nefte/am*ary 1998
These rules shall govern the circulation and distribution of all petitions and handbills on
University property.
1. These rules shall apply to students, faculty, and staff, and their approved
organizations.
2. However, these rules do not apply to:
a. the University, and its agents, servants, or employees, acting in the
course and scope of their agency or employment; and
b. the Stephen F. Austin State University Alumni Association and the
Stephen F. Austin State University Foundation.
3. Students, faculty, and staff, and their approved organizations, may circulate and
distribute petitions and handbills on University property, except in academic
buildings unless otherwise authorized by law. Circulation and distribution must be
conducted in compliance with these rules and University policy and must not:
a. result in a breach of peace or violation of law;
b. interfere with the free and unimpeded flow of pedestrian and vehicular
traffic; or
c. materially disrupt or interfere with the normal activities of the University.
4. The person or organization must deposit in the Office of Student Development a
true and correct copy of the petition or handbill to be circulated or distributed on
University property, at least twenty four (21) hours in advance of tfao circulation or
distribution. Each petition and handbill deposited with the Office of Student
Development shall bear the signature of the person, or if an organization, the
signature of its authorized representative, as well as, the organization's address and
telephone number.
5. Each petition and handbill to be circulated or distributed on University property
shall identify the person or organization displaying or distributing it.
6. The person or organization shall clean and remove any litter which results from the
circulation and distribution of its petitions and handbills.
7. No person or organization may circulate or distribute a petition or handbill that:
a. violates the University's policy on solicitation;
b. contains material that is obscene or libelous; or
c. advocates the deliberate violation of law. For the purposes of this section
"advocacy" means preparing the group addressed for imminent action and
steeling it to such action, as opposed to the abstract espousal of the moral
propriety of a course of action.
8. In addition to these rules, petitions and handbills to be circulated and distributed by
students, faculty, and staff, and their approved organizations, in:
Index D-25
Page 2 of 3
a. residence halls must comply with the rules governing residence halls; and
b. the University Center must comply with the rules governing the University
Center.
Petitions and Handbills of Visitors
These rules shall govern the circulation and distribution of all petitions and handbills on
University property by visitors.
1. Visitor shall mean a person who is not presently enrolled as a student nor is
presently employed by the University.
2. a. Visitors may circulate and distribute petitions and handbills in the Free
Expression Area of the University between 8:00 a.m. and 7:00 p.m.,
Monday through Saturday. Circulation and distribution must be
conducted in compliance with these rules and University policy and must
not:
(1) result in a breach of peace or violation of law;
(2) interfere with the free and unimpeded flow of pedestrian and
vehicular traffic; or
(3) materially disrupt or interfere with the normal activities of the
University.
However, during registration, visitors that can present to the Vice
President for Administrative and Fiscal Affairs written evidence from the
Internal Revenue Service that the organization has been granted an
exemption from taxation under 26 U.S.C.A. 501 (c) (3) and (d) (Internal
Revenue Code) may circulate and distribute petitions and handbills in
areas designated in advance by the Office of Student Development.
b. Reservations must be made in writing through the Office of Student
Development at least forty-eight (48) hours in advance of the activity in
order to facilitate orderly scheduling of the area. The visitor must deposit
with the Office of Student Development a true and correct copy of the
petition or handbill to be circulated or distributed on University property.
Each petition and handbill deposited with the Office of Student Development
shall bear the signature of the person, or if an organization, the signature of
its authorized representative.
3. Each petition and handbill to be circulated or distributed on University property
shall identify the person or organization displaying or distributing it.
4. The visitor shall clean and remove any litter which results from the circulation and
distribution of his/her petitions and handbills.
5. No visitor may circulate or distribute a petition or handbill that:
a. violates the University's policy on solicitation;
b. contains material that is obscene or libelous; or
Index D-25
Page 3 of 3
c. advocates the deliberate violation of law. For the purposes of this
section, "advocacy" means preparing the group addressed for imminent
action and steeling it to such action, as opposed to the abstract espousal
of the moral propriety of a course of action.
Source of Authority: United States Constitution, Amendments I and XIV; President-
Vice President for University Affairs
Cross Reference: Student Handbook and Activities Calendar Stephen F. Austin State
University Web Page
Contact for Revision: Dean of Student Development
Forms: None
Solicitation Index D-33
Original Implementation: July, 1980 Page 1 of 4
| Last Revision: October, 19&7 January, 1998
Definitions
1. Solicitation means the sale or offer for sale of any property or service, whether for
immediate or future delivery, and the receipt of or request for any gift or contribution.
However, this term does not apply to an appointment between a student, faculty member,
or employee, and another person (solicitor), if the appointment does not interfere with or
disturb the normal activities of the student, faculty member, or employee, or the
University.
2. Campus shall mean all real property over which the University has possession and
control by law.
| 3. University group shall mean a registered recognized student, faculty, or staff
organization.
4. Outside group shall mean any organization or group that is not included within the teim
"University group."
5. University agent shall mean a person acting in the course and scope of his/her
| employment on behalf of an academic-seheel- college, department, or program, or a
University council, committee, or auxiliary enterprise.
6. University function shall mean any activity directly sponsored by the University.The
term shall include, but not be limited to, activities such as the Fall Carnival and the East
Texas County Fair.
Application
1. University functions shall be governed by other policy.
2. Religious groups not affiliated with the University shall be governed by the section on
Religious Groups of this policy.
3. Or. Offers to buy complimentary copies of textbooks are specifically prohibited
anywhere on the campus or in any building.
Time. Place. And Manner Regulations
1. No solicitation shall be conducted in any building or structure on the campus. However,
the following activities shall not be deemed to be solicitations prohibited by this section:
a. During registration periods, the sale or offer for sale of
any newspaper in an area designated by the appropriate
University official.
b. The sale or offer for sale of any newspaper, magazine,
or other publication by means of a vending machine in
an area designated in advance by the appropriate
Index D-33
Page 2 of 4
University official.
c. The sale or offer for sale of any food or drink item by
means of a vending machine in an area designated in
advance by the appropriate University official.
d. The sale or offer for sale of any publication of the
University or of any book or other printed material to
be used in the regular academic work of the University.
e. The operation by the University or its subcontractor of
any bookstore, specialty store, laundry service, cafeteria,
University Center, or other service facility maintained
for the convenience of the students, faculty, and staff.
f. The sale or offer for sale by the University or its sub
contractor of food and drink items, programs, and
tickets at athletic contests.
g. The collection of membership fees or dues by a
University group.
h. The collection of admission fees for the exhibition of
movies or other programs that are sponsored by the
University, or a University group, and are scheduled
in accordance with the Use of University Facilities policy,
i. The posting of ads and for sale notices in newspapers or
on bulletin boards designated for such purposes by the
appropriate University official, provided that such ads
and notices posted on bulletin boards conform to the
University Signs policy.
/ University recognized groups conducting fund raising
activities approved by the appropriate University
official,
k. other solicitation activities as approved by the
appropriate University official
2. No solicitation shall be conducted on the groups, sidewalks, and streets of the campus
except by: ^
a. a University agent; or
b. a University group.
3. Solicitation conducted on the campus must not:
a. disturb or interfere with the regular academic or
institutional programs of the University.
b. interfere with the free and unimpeded flow of
pedestrian and vehicular traffic on the sidewalks and
streets and at places of entry and exit to University
buildings; or
c. harass or intimidate the person or persons being solicited.
4. If an individual or group violates the provisions of this policy, the appropriate
University official, with the approval of the vice president to whom he/she reports, may
prohibit the offender from engaging in any solicitation on the University campus for a'
Index D-33
Page 3 of 4
specified period of time not to exceed one (1) year. In the case of a repeated violation of
these rules, the following sanctions shall apply:
a. the appropriate University official with the approval of
the vice president to whom he/she reports, may suspend
| or cancel the registration recognition-status of an offending student
organization.
b. the appropriate University official, with the approval of
the vice president to whom he/she reports, may suspend
the use of University facilities by an offender in
accordance with the Penalty and Hearing section of the
Use of University Facilities policy;
c. the University may prosecute an offender for trespass in
accordance with Chapter 51 of the Texas Education Code.
| Financial Policies of Student Or^aniyatinns
1. The Vice President for University Affairs may request a financial statement of any
student organization at any time. The requirements of the financial statement shall be
established by the Vice President for University Affairs.
2. Any registered student organization failing to comply with the provisions of this section
may be subjected to sanctions provided by the Time, Place, and Manner Regulations
section. °
Additional Rules
In addition to these rules, solicitation conducted in:
a. residence halls must comply with the rules governing
residence halls;
b. the University Center must comply with the rules
governing the University Center; and
c. academic buildings must comply with the rules governing
academic buildings.
Religious Groups
1. Solicitation of donations and contributions incidental to the main objective of preaching
and propagating the doctrines of religion may be conducted in the Free Expression Area of
the University between the hours of 8:00 a.m. and 7:00p.m., Monday - Friday.
2. Solicitations of donations and contributions by a religious group must comply with the
Time, Place and Manner Regulations section.
3. The sale or offer of sale of any property or service, whether for immediate or future
delivery, by a religious group must comply with the provisions of the Time, Place and
Manner Regulations section.
Index D-33
Page 4 of 4
Source of Authority: Texas Education Code Chapter 101; United States Constitution
Amendments I and XIV; President, Vice President for University Affairs
Cross Reference: Student Handbook and Activities Calendar Stephen F. Austin State
University Web Page
Contact for Revision: Dean of Student Development
Forms: None
Student Discipline Index D-34
Original Implementation: January 19, 1988 Page 1 of 9
RULES OF PROCEDURE IN STUDENT DISCIPLINARY MATTERS
Introduction
The following Rules of Procedure in Student Disciplinary Matters are adopted to
ensure that the University will fulfill the requirements of procedural due process in
student disciplinary proceedings, that the Stephen F. Austin State University Code of
Student Conduct and Residence Hall Rules and Regulations may be secured to all
students and that the disciplinary procedures within Stephen F. Austin State University
shall be definite and determinable.
These Rules of Procedure shall be followed in any disciplinary proceeding
commenced after the beginning of the Fall spring semester, 199788, subject to the
authority of the Board of Regents and the authority delegated to the President of the
University to exercise jurisdiction over disciplinary matters of the University.
Definitions
As used in these rules, the following definitions shall apply:
Appeal: The exercise of the right of review by the charged student or the individual
designated as the appellate authority Vice President for University Affaire of the full
record of a disciplinary hearing tho Student Conduct Committee and the sanction
imposed by a the hearing officer or board. Dean of Student Development.
Vice President for University Affairs: As used in these procedures, the Vice
President for University Affairs is charged with the primary responsibility for the
administration of these disciplinary- procedures and procedures is the appellate
authority for conduct code violations, and rofors to tho individual cpooifioally
designated to act for tho Vice President. The Vice President may appoint designees to
administer disciplinary procedures in addition to or in the absence of the Dean or
Associate Dean of Student Development.
Dean of Student Development: As used in these procedures, the Dean of
Student Development is charged, as a designee of the Vice President, with the daily
responsibility for the administration of these disciplinary procedures. Specifically, the
Dean conducts informal hearings for alleged conduct code violations, has appellate
authority over residence hall violation appeals, and reviews final hearing outcomes
and sanctions of the Student Conduct Committee.
Associate Dean of Student Development: As used in these procedures, the
Associate Dean of Student Development is charged, as a designee of the Vice
President, with the daily responsibility for the administration of these disciplinary
procedures. Specifically, the Associate Dean of Student Development conducts
informal hearings for alleged conduct code violations, serves as appeal officer to
residence hall violations, reviews Judicial Board hearings outcomes and sanctions,
and presents the University's case in formal hearings before the Student Conduct
Committee.
Student: A person having once been admitted to the University who has not
completed a chosen course of study and who intends to or does continue that course
of study at the University. For the purposes of these rules, student status continues
whether the University's academic programs are in session or not.
Student Conduct Committee: As used in these procedures, Student Conduct
Committee is that body which is authorized to conduct hearings and to make
recommendations of dispositions under these procedures. The Committee shall be
composed of one (1) faculty/staff member, one (1) student and one (1) faculty/staff
Chair. The Chair, appointed by the President of the University, shall hold the position
on a permanent basis and shall preside at all disciplinary hearings of the Committee.
The Chair shall select the faculty/staff member of the Committee from a pool of five (5)
faculty/staff appointed by the President of the University and the student member of the
Committee from a pool of five (5) students appointed by the President of the Student
Government Association. Each Committee member shall have a vote. The charged
student has the right to challenge and strike one member of the Committee who will be
replaced by the Chair from the remaining members of the pool.
Hall Director: The individual charged with the administration of a specific residence
hall who will initiate the proceedings to be followed when a residence hall infraction
has occurred.
Judicial Board: The panel which is authorized to conduct hearings and to make
recommendations for dispositions regarding residence hall infractions committed by
residence hall occupants. The Board shall be composed of three (3) fivo (5)
residence hall students who are elected at large by residence hall students, «nd two
(2) Resident Assistants who are elected by the residence hall students, one (1) Hall
Director advisor and one (1) Assistant Hall Director chairperson who are appointed by
the Coordinator of Residence Life, two (2) Hall Diroctors who aro appointod by tho
Director of Rocidonoo Lifo.
Penalties
Admonition is a warning.
Conduct Probation is for a specified period of time and requires that a second
offense will result in disciplinary probation or suspension.
Disciplinary Probation is for a specified period of time and may carry with it other
conditions to be met (e.g. restriction of participation in extracurricular activities,
holding student office, pledging or joining campus organizations).
Special Action is a sanction designed to enhance the educational intent of the
disciplinary process, a recommondation from tho Hoaring Officor to anothor Univorcity
official that tho chargod studont bo roctriotod from Gomo oorvioo or privilogo Examples
of sanctions include (e^-rernoval from University Housing, payment of damages,
extracurricular activity restrictions^, community service, educational sanctions,
counseling referrals.
Suspension is a bar from attending the University for a specific period of time and
carries with it the following conditions:
1. The charged student must remain off the campus during the period of
suspension, except when summoned by an administrator of the University or when an
appointment with an official has been arranged in advance.
2. A student under suspension may not live or board in University facilities.
Expulsion is a permanent bar from attending the University. Disciplinary expulsion
will be noted on the student's academic transcript
Debarment is equivalent to suspension from the University applied to persons not
currently registered at the time the penalty is imposed.
Procedures (Residence Hall Regulation Violations)
1. The Hall Director shall receive the report of any alleged infraction of Residence
Hall Rules and Regulations and the Code of Student Conduct that occurs in a
residence hall. Infractions that constitute Code of Student Conduct violations shall
be forwarded to the Dean of Student Development-Office,
In the event of multiple infractions involving both Residence Hall Rules and
Regulations and the Code of Student Conduct, the higher level infraction(Code of
Student Conduct) shall take precedence. In all other cases, the Hall Director shall
notify, in writing, the charged student of a hearing to adjudicate the misconduct.
The Hall hearing shall be held within five (5) working days of the infraction.
2. At the initial meeting with the charged student, the Hall Director will provide the
charged student a copy of the incident report relative to the case which will include
the names(s) of the individual(s) making the charge and potential witnesses. The
charged student will also be presented with the option of having the Hall Director
informally resolve the incident or having the case heard before the Residence Hall
Judicial Board. The Hall Director shall also have the right to refer the case to the
Residence Hall Judicial Board.
Informal Disposition(Residence Hall Regulations)
3. If the charged student selects an informal hearing, the incident report shall serve as
evidence of the of the infraction. The Hall Director shall serve as the official
initiating the charge of misconduct. In the event the charged student does not
appear for the initial hearing with the Hall Director, the charged student shall be
notified again of a new hearing. Should the charged student fail again to appear
for the newly scheduled hearing, the Hall Director shall refer the case to the Dean
of Student Development for violation of the Code of Student Conduct for failure to
follow the directions of a University official.
Formal Disposition(Residence Hall Regulations)
4. If the charged student elects to have the case heard before the Judicial Board, the
Chair of the Judicial Board shall notify the charged student of the hearing date to
be scheduled within ten (10) working days of the election. The proceedings of the
Judicial Board are not to be conducted as judicial trials, but care shall be taken to
comply with the intent of the procedural safeguards provided by these rules.
Judicial Board hearings are closed.
5. The Judicial Board Chair shall provide written notice of the hearing by personal
delivery of the notice through the management system of the residence hall. The
written notice shall set forth the date, time, and place of the alleged infraction, the
conduct in question, and the date, time and place of the hearing before the Judicial
Board. The charged student shall also be informed that an advisor may
accompany the charged student to the hearing. If the charged student fails to
appear at the scheduled time, the charged student shall be notified of a new
hearing date. Should the charged student fail to appear for the newly-scheduled
hearing, the case shall be referred to the Dean of Student Development for
violation of the Code of Student Conduct for failure to follow the directions of a
University offici